附件 4.2
押金 協議
由 和其中
深圳市威電子有限公司
和
花旗銀行,北卡羅來納州
作為保存人,
和
持有人和受益人
美國 存款股票 根據此發行
截止日期 [●], 2023
目錄表 1
1 | 要 更新 |
i
押金 協議
存款 協議,日期: [●],2023年,由(i)HW ELECTRO CO. LTD.,,及其繼任者(“公司”), (ii)花旗銀行,N.A.,根據美利堅合眾國法律組建的全國性銀行協會(“花旗銀行”) ,以及本協議項下的任何後繼存託(“花旗銀行”,以該身份為“存託人”), 和(iii)本協議項下發行的美國存托股份的所有持有人和受益所有人(所有該等大寫術語見下文 定義)。
W I T N E S S E T H T H A T:
除此之外, 公司希望與存管人建立ADR機制,以提供 除其他外存放股份(定義見下文 ),並創建代表如此存放股份的美國存托股份;以及
鑑於, 保管人願意根據《保證金協議》(定義見下文)中規定的條款,擔任此類ADR貸款的保管人;以及
鑑於, 根據《存款協議》的條款發行的任何美國存託憑證基本上應採用本《存款協議》所附附件 A的形式,並在附件中適當插入、修改和遺漏,如下文《存款協議》所規定的那樣;以及
現在, 因此,出於良好和有價值的對價,本合同雙方同意如下:
文章 i 定義
除非另有明確説明,否則此處使用的所有大寫術語(未另行定義)應具有下列含義:
第1.1節“美國存托股份備案日期”應具有第4.9節中賦予該術語的含義。
第1.2節“關聯方”應具有證監會根據《證券法》(以下定義)頒佈的法規C或其任何後續法規賦予該術語的含義(定義如下)。
第 1.3節“美國存託憑證(S)”、“美國存託憑證(S)”和“美國存託憑證(S)” 指託管人簽發的證明根據《存託協議》條款發行的美國存托股份的憑證(S),其形式為帶證明的美國存托股份(S)(定義見下文),該等存託憑證可根據《存託協議》的規定不時修訂。美國存託憑證可以證明任何數量的美國存託憑證,對於通過DTC等中央託管機構持有的美國存託憑證,可以是“餘額憑證”的形式。
第 1.4節“美國存托股份(S)”及“美國存托股份(S)”指根據存託協議的條款及條件授予持有人及實益擁有人的對存託財產(定義見下文)的權利及權益,如以美國存托股份(S)(下文定義)的形式發行,則指為證明該等存託財產而發行的存託憑證(S)。美國存托股份(S) 可根據《存託協議》的條款以以下形式發行:(A)有證書的美國存托股份(S)(定義如下),其中 美國存托股份(S)由美國存託憑證(S)證明,或(B)無證書的美國存托股份(S)(如下定義),在這種情況下,美國存托股份(S)不由美國存託憑證(S)證明,但反映在託管銀行為此目的根據第2.13節條款 維護的直接登記系統上。除《存款協議》或任何美國存託憑證另有規定外,或除文意另有所指外,凡提及美國存托股份(S),應視文意所需,包括有證書的美國存托股份(S)及無證書的美國存托股份(S)。每一美國存托股份應代表在符合《存款協議》和適用的美國存託憑證(如作為美國存托股份憑證發行)的條款和條件的情況下,收取並行使在本文件所附的作為附件A(經不時修訂)的美國存託憑證表格(經不時修訂)中規定的股份數量的權利和行使受益所有權權益的權利。 直至第4.2節所述的託管證券發生分派或第4.11節所述的託管證券發生變更,且未就其發行額外的美國存託憑證為止,此後,每一美國存托股份應代表有權收取、 及行使根據該等條款所釐定的存放於託管人及託管人的適用託管財產的實益所有權權益,但在每種情況下,均須受《存款協議》及適用的美國存託憑證(如以認證美國存托股份發行)的條款及條件所規限。此外,美國存托股份(S)與股份(S)的比例可根據存託協議第四及第六條 的規定作出修訂(可能會產生存託費用)。
Section 1.5 “Beneficial Owner” shall mean, as to any ADS, any person or entity having a beneficial interest deriving from the ownership of such ADS. Notwithstanding anything else contained in the Deposit Agreement, any ADR(s) or any other instruments or agreements relating to the ADSs and the corresponding Deposited Property, the Depositary, the Custodian and their respective nominees are intended to be, and shall at all times during the term of the Deposit Agreement be, the record holders only of the Deposited Property represented by the ADSs for the benefit of the Holders and Beneficial Owners of the corresponding ADSs. The Depositary, on its own behalf and on behalf of the Custodian and their respective nominees, disclaims any beneficial ownership interest in the Deposited Property held on behalf of the Holders and Beneficial Owners of ADSs. The beneficial ownership interests in the Deposited Property are intended to be, and shall at all times during the term of the Deposit Agreement continue to be, vested in the Beneficial Owners of the ADSs representing the Deposited Property. The beneficial ownership interests in the Deposited Property shall, unless otherwise agreed by the Depositary, be exercisable by the Beneficial Owners of the ADSs only through the Holders of such ADSs, by the Holders of the ADSs (on behalf of the applicable Beneficial Owners) only through the Depositary, and by the Depositary (on behalf of the Holders and Beneficial Owners of the corresponding ADSs) directly, or indirectly through the Custodian or their respective nominees, in each case upon the terms of the Deposit Agreement and, if applicable, the terms of the ADR(s) evidencing the ADSs. A Beneficial Owner of ADSs may or may not be the Holder of such ADSs. A Beneficial Owner shall be able to exercise any right or receive any benefit hereunder solely through the person who is the Holder of the ADSs owned by such Beneficial Owner. Unless otherwise identified to the Depositary, a Holder shall be deemed to be the Beneficial Owner of all the ADSs registered in his/her/its name. The manner in which a Beneficial Owner holds ADSs (e.g., in a brokerage account vs. as registered holder) may affect the rights and obligations of, the manner in which, and the extent to which, services are made available to, Beneficial Owners pursuant to the terms of the Deposit Agreement.
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第 1.6節“經證明的ADS”應具有第2.13節所述的含義。
第 1.7節"花旗銀行"指花旗銀行,N.A.,根據美利堅合眾國法律組建的全國性銀行協會及其後繼者。
第 1.8節"委員會"指美國證券交易委員會或其在美國的任何繼承 政府機構。
第 1.9節"公司"指HW Electro Co. Ltd.,根據日本法律組建的有限責任股份公司 及其繼承人。
第 1.10節"託管人"應指(i)截至本協議日期,花旗銀行,N.A.,東京分行,一家根據日本法律組建的銀行, 的主要辦事處位於日本東京Otemachi 1—chome Chiyoda—ku 1—1,作為存款協議中的存款財產的保管人,(ii)花旗銀行,N.A.,根據交存協議 作為交存財產的保管人,以及(iii)保管人根據第5.5條的條款可能指定作為本協議項下的繼承人、替代人或額外保管人的任何其他實體。術語“保管人”應指任何保管人單獨或所有保管人 的集體,視上下文需要而定。
第 1.11節"交付"和"交付"應指(x) 適用於股票和其他保證金(i)代表該等證券的證書的實物交付,或(ii) 在股份登記處(定義見下文)的簿冊上或在日本證券存託中心(Inc.)的簿記 結算中,和(y) 在用於ADS時(i)實際交付 證明ADS,或(ii)ADS的簿記轉移和記錄在存管人或ADS符合結算條件的任何簿記 結算系統上。
第1.12節“定金協議”指本定金協議及其所有證物,因其可能根據定金協議的條款而不時修訂和補充。
第1.13節“存託”是指花旗銀行、根據美國法律 以《存管協議》條款作為存託機構而成立的全國性銀行協會,以及本協議項下的任何後續存託機構。
第1.14節“存款財產”是指託管人和託管人根據《存款協議》條款就美國存託憑證持有的存款證券和任何現金及其他財產,如果是現金,則受第4.8節的規定約束。所有存放財產應由託管人、託管人及其各自的代名人為代表存放財產的美國存託憑證的持有人和實益擁有人的利益而持有。存放的財產不打算也不應構成保管人、託管人或其指定人的專有資產。已交存財產的實益擁有權在《按金協議》有效期內將一直歸屬於代表已交存財產的美國存託憑證的實益 擁有人。
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第1.15節“存入證券”指託管人根據存管協議就存託憑證而不時持有的股份及任何其他證券,並構成存入財產。
第1.16節“美元”和“美元”指的是美國的合法貨幣。
第1.17節“DTC”是指託管信託公司、全國性票據交換所和在美國交易的證券的中央簿記結算系統,因此,DTC參與者的證券託管人(定義見下文)及其任何繼承者。
第1.18節“DTC參與者”是指在DTC擁有一個或多個參與者賬户以接收、持有和交付DTC持有的證券和現金的任何金融機構(或該機構的任何被指定人)。DTC參與者 可能是受益所有人,也可能不是。如果直接交易參與者不是存入其存託憑證賬户的美國存託憑證的實益所有人,或非存託憑證參與者以其他方式行事的美國存託憑證的實益所有人,則就本協議項下的所有目的而言,該直接受託憑證參與者應被視為具有代表存入其直接受託憑證賬户的美國存託憑證實益所有人(S)或就其行事的美國存託憑證受益所有人(S)行事的所有必要授權。存託憑證參與者在其任何一個存託憑證賬户接受根據存款協議的條款和條件發行的任何美國存託憑證(或其中的任何權益)後,(儘管有任何明確或隱含的 披露其可能代表另一方行事)在任何目的下應被視為 存託協議和適用的美國存託憑證(S)條款的一方,並受其約束,其程度和約束程度與該存託憑證參與者是該等美國存託憑證的持有人一樣。
第1.19節“交易法”是指不時修訂的1934年美國證券交易法。
第1.20節“FEFTA”是指不時修訂的《日本外匯和對外貿易法》及相關法規。
第1.21節“FEFTA 10%投票權/所有權報告”應具有第5.11節中給出的含義。
第1.22節“FEFTA涵蓋實體”應具有第5.11節中給出的含義。
第1.23節“FEFTA指定業務”是指下列任何業務:(A)列於公告的附表1或2中,指明業務類型,由財務大臣和商務主管大臣根據不時修訂和補充的《日本外來直接投資令》第3條第3款的規定指定業務類型;(B)未列於任何所附表格1中;根據《關於外來直接投資的法令》第3條第3款規定由財務大臣和商務主管大臣指定的業務類型的公告2和3,或(C)列於《公告》後的附表所列的《公告》,指明由財務大臣和商務主管大臣根據不時修訂和補充的《關於外來直接投資的法令》第3條第1款和第4條第{br>2款的規定指明的業務類型。
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第1.24節《FEFTA執行報告》應具有第5.11節給出的含義。
第1.25節“FEFTA預先通知”應具有第5.11節中給出的含義。
第1.26節《FEFTA股票退出報告》應具有第5.11節所述的含義。
第1.27節“外幣”是指美元以外的任何貨幣。
第1.28節“外國投資者”是指外國投資者(Gaikoku-Toushika),如FEFTA中所述。
1.29“全額權利ADR(S)”、“全額權利美國存托股份(S)”和“全額權利份額(S)” 應分別具有第2.12節所給出的含義。
第 1.30節"持有人"指以其名義在為此目的而保存的 保存人(或註冊處,如有)的賬簿上登記存託憑證的人。持有人可以是也可以不是受益人。如果持有人不是 以其名義登記的ADS的受益所有人,則就本協議的所有目的而言,該人應被視為具有代表以其名義登記的ADS的受益所有人行事的所有必要 權限。持有人持有ADS的方式(例如, 以證書形式與非證書形式)可能影響根據存款協議條款向持有人提供服務的方式和範圍,以及 提供服務的權利和義務。
第 1.31節"JASDEC"指日本證券存託中心,Inc.,為日本的股本證券提供記賬式結算 系統,或其任何繼承實體。
第 1.32節“部分權益ADR”、“部分權益ADS”和“部分權益 股份”應具有第2.12節中規定的各自含義。
第 1.33節"主要辦事處"當用於與存管人有關時,應指存管人的主要辦事處,在存管協議的日期,其地址為388 Greenwich Street,New York,New York 10013,U.S.A.
第 1.34節"登記處"指存管人或在紐約市曼哈頓區 設有辦事處的任何銀行或信託公司,由存管人指定登記本協議規定的 ADS的發行、轉讓和註銷,並應包括存管人為此目的指定的任何共同登記處。登記員( 保存人除外)可被免職,並由保存人指定替代人員。根據交存協議任命的每一位登記官(保存人除外)均須以書面形式通知保存人接受該任命並同意受交存協議適用條款的約束。
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第 1.35節"受限制證券"指(i)在不涉及任何 公開發行的交易或交易鏈中 直接或間接從公司或其任何關聯公司獲得的股份、託管證券或ADS,並受《證券法》或根據其發佈的規則規定的轉售限制,或(ii)由執行人員或董事持有 (或履行類似職能的人員)或本公司的其他關聯公司,或(iii)受美國、日本、或根據股東協議或本公司的公司章程,或根據適用證券交易所的規定,除非在每種情況下,該等股份,在有效轉售登記聲明所涵蓋的交易(a) 中,已存置的證券或美國存託憑證被轉讓或出售給公司關聯公司以外的人,或(b)豁免證券法(定義見下文)的登記要求,且股份、託管證券或美國存託證券(ADS)由該等人士持有時,不屬於限制性證券。
第 1.36節"受限制ADR"、"受限制ADS"和"受限制股份" 應具有第2.14節中規定的各自含義。
第 1.37節“FEFTA法定等待期的令人滿意”應具有第 5.11(e)(i)節中所述的含義。
第 1.38節“證券法”指1933年美國證券法,並不時修訂。
第 1.39條“股份過户登記處”指清水康彥或本公司不時委任的根據日本法律 組建的任何其他機構,以履行股份過户登記處職責,及其任何繼任者。
第 1.40節"股份"是指公司普通股,無面值、有效發行和未發行 且已繳足,如果存管人與公司協商後同意,則可包括有權收取股份的證據; 條件是,在任何情況下,股份均不得包括有權接收全部購買的股份的證據 價款尚未支付,或優先購買權的股份未被有效放棄或行使;此外, 但是,如果發生關於公司股份的面值、拆分、合併、重新分類、交換、轉換 或第4.11節所述的任何其他事件發生任何變化,此後,在法律允許的最大範圍內,術語“股份”應代表該事件產生的後續證券。
第 1.41節"未經認證的ADS"應具有第2.13節中所述的含義。
第1.42節“美國”和“美國”應具有證監會根據《證券法》頒佈的條例S 中所賦予的含義。
第 1.43節“日元”和“日元”指日本的法定貨幣。
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第
第二條
保管人的任命;收據的形式;
股份的存放;簽約和
收據的交付、轉讓和交出
第 2.1節指定託管人。本公司特此委任託管人為存放財產的託管人,並授權及指示託管人按照《託管協議》及適用的美國存託憑證所載的條款及條件行事。各持有人及各實益擁有人於接納根據存款協議的條款及條件發行的任何美國存託憑證(或其中的任何權益)後,就所有目的而言,應被視為(A)為《存款協議》及適用的美國存託憑證(S)條款的訂約方及受其約束,及(B)委任受託保管人作為其事實受權人,並全權授權其代表其行事及採取存款協議及適用美國存託憑證(S)所預期的任何及所有行動,採取任何和 遵守適用法律所需的任何和所有程序,並採取託管人全權酌情認為必要或適當的行動以實現《存款協議》和適用的美國存託憑證(S)的宗旨,採取該等行動是其必要性和適當性的決定性 決定因素。
第2.2節美國存託憑證的格式和轉讓。
(A)表格。經認證的美國存託憑證應由最終的美國存託憑證證明,該最終美國存託憑證應雕刻、印刷、平版或以本公司和託管銀行可能商定的其他方式製作。美國存託憑證可根據存管協議以任何 整筆美國存託憑證的面額發行。美國存託憑證應基本上採用《存託協議》附件A所列格式,並在《存託協議》另有規定或法律要求的每種情況下進行適當的插入、修改和遺漏。美國存託憑證應(I)註明日期,(Ii)由託管人正式授權的簽字人手寫或傳真簽署,(br}(Iii)由註冊處正式授權的簽字人手工或傳真簽署會籤,以及(Iv)在註冊處保存的登記美國存託憑證發行和轉讓的簿冊上登記。由此證明的任何美國存託憑證和美國存托股份均無權享有存款協議項下的任何利益,也不得就任何目的對託管人或本公司有效或可強制執行,除非該等美國存託憑證已如此註明日期、簽署、會籤和登記。印有寄存人或書記官長正式授權簽字人的傳真簽名的ADR,在簽署時是 託管人或書記官長(視屬何情況而定)的正式授權簽字人,應對託管人具有約束力,即使該簽字人已停止在託管人交付該ADR之前獲得如此授權也是如此。美國存託憑證的美國存託憑證編號應不同於任何過去、現在或可能分配給之前或之後根據託管人(或任何其他託管機構)與本公司之間的任何其他安排發行的任何存託憑證,且不是本協議項下未償還的美國存託憑證的任何CUSIP編號。
(b)傳説 美國存託憑證可以背書,或在其文本中納入與存託協議條款不相牴觸的圖例或陳述,這些圖例或陳述可能是(i)使存託人和公司能夠履行各自在本協議項下的義務所必需的, (ii)遵守任何適用法律或法規所必需的,或任何證券交易所或 市場的規則和條例,其中美國存託證券可以交易,上市或報價,或遵守任何有關的用法,(iii)需要説明 任何特定美國存託憑證或美國存託憑證因發行日期或其他原因而受到的任何特殊限制或限制,或(iv)持有美國存託證券的任何簿記系統所規定的。就所有目的而言,持有人和受益所有人應被視為 已通知並受條款和條件約束,對於持有人而言, 以適用持有人的名義註冊的ADR上,或者對於受益所有人而言, 代表受益所有人擁有的ADS的ADR 。
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(c)標題. 在符合本協議和ADR中包含的限制的情況下,ADR(以及由此證明的每個經證明的ADS)的所有權應 按照紐約州法律與經證明證券相同的條款進行轉讓,條件是,對於 經證明的ADS,此類ADR已適當背書或附有適當的轉讓文書。儘管有任何相反的通知 ,存託人和本公司可就所有目的將ADS持有人(即以其名義在存託人賬簿上登記ADS 的人)視為其絕對所有人。存管人或本公司均不 根據存管協議或任何ADR對任何持有人或任何受益所有人負有任何義務或承擔任何責任,除非, 對於存管人而言,該持有人是在存管人賬簿上登記的持有人,或者對於受益所有人而言,該受益所有人或受益所有人的代表,是在保存人賬簿上登記的持有人。
(d) Book-Entry Systems. The Depositary shall make arrangements for the acceptance of the ADSs into DTC. All ADSs held through DTC will be registered in the name of the nominee for DTC (currently “Cede & Co.”). As such, the nominee for DTC will be the only “Holder” of all ADSs held through DTC. Unless issued by the Depositary as Uncertificated ADSs, the ADSs registered in the name of Cede & Co. will be evidenced by one or more ADR(s) in the form of a “Balance Certificate,” which will provide that it represents the aggregate number of ADSs from time to time indicated in the records of the Depositary as being issued hereunder and that the aggregate number of ADSs represented thereby may from time to time be increased or decreased by making adjustments on such records of the Depositary and of DTC or its nominee as hereinafter provided. Citibank, N.A. (or such other entity as is appointed by DTC or its nominee) may hold the “Balance Certificate” as custodian for DTC. Each Beneficial Owner of ADSs held through DTC must rely upon the procedures of DTC and the DTC Participants to exercise or be entitled to any rights attributable to such ADSs. The DTC Participants shall for all purposes be deemed to have all requisite power and authority to act on behalf of the Beneficial Owners of the ADSs held in the DTC Participants’ respective accounts in DTC and the Depositary shall for all purposes be authorized to rely upon any instructions and information given to it by DTC Participants. So long as ADSs are held through DTC or unless otherwise required by law, ownership of beneficial interests in the ADSs registered in the name of the nominee for DTC will be shown on, and transfers of such ownership will be effected only through, records maintained by (i) DTC or its nominee (with respect to the interests of DTC Participants), or (ii) DTC Participants or their nominees (with respect to the interests of clients of DTC Participants). Any distributions made, and any notices given, by the Depositary to DTC under the terms of the Deposit Agreement shall (unless otherwise specified by the Depositary) satisfy the Depositary’s obligations under the Deposit Agreement to make such distributions, and give such notices, in respect of the ADSs held in DTC (including, for avoidance of doubt, to the DTC Participants holding the ADSs in their DTC accounts and to the Beneficial Owners of such ADSs).
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第 2.3節股份的存放。根據《存款協議》的條款和條件以及適用法律,股份或獲得股份權利的證據 (受限制證券除外)可由任何人存入(包括以個人身份 的保存人,但在公司或公司任何關聯公司的情況下,須遵守第5.7條的規定)在任何時候,無論 本公司或股份過户登記處(如有)的過户登記簿是否已關閉,均須向託管人交付股份。每筆股票存放 應附有以下內容:(A)(i) 對於以登記形式發行的股票所代表的股票 ,適當的轉讓或背書文書,其形式應令託管人滿意,(Ii)如果是由無記名形式的證書代表的股票 ,所需的優惠券和與之相關的利爪,以及(Iii)對於通過記賬轉讓和記錄方式交付的 股票, confirmation of such book-entry transfer and recordation in the books of the Share Registrar or of JASDEC, as applicable, to the Custodian or that irrevocable instructions have been given to cause such Shares to be so transferred and recorded, (B) such certifications and payments (including, without limitation, the Depositary’s fees and related charges) and evidence of such payments (including, without limitation, stamping or otherwise marking such Shares by way of receipt) as may be required by the Depositary or the Custodian in accordance with the provisions of the Deposit Agreement and applicable law, (C) if the Depositary so requires, a written order directing the Depositary to issue and deliver to, or upon the written order of, the person(s) stated in such order the number of ADSs representing the Shares so deposited, (D) evidence satisfactory to the Depositary (which may be an opinion of counsel) that all necessary approvals have been granted by, or there has been compliance with the rules and regulations of, any applicable governmental agency in Japan, and (E) if the Depositary so requires, (i) an agreement, assignment or instrument satisfactory to the Depositary or the Custodian which provides for the prompt transfer by any person in whose name the Shares are or have been recorded to the Custodian of any distribution, or right to subscribe for additional Shares or to receive other property in respect of any such deposited Shares or, in lieu thereof, such indemnity or other agreement as shall be satisfactory to the Depositary or the Custodian and (ii) if the Shares are registered in the name of the person on whose behalf they are presented for deposit, a proxy or proxies entitling the Custodian to exercise voting rights in respect of the Shares for any and all purposes until the Shares so deposited are registered in the name of the Depositary, the Custodian or any nominee.
Without limiting any other provision of the Deposit Agreement, the Depositary shall instruct the Custodian not to, and the Depositary shall not knowingly, accept for deposit (a) any Restricted Securities (except as contemplated by Section 2.14) nor (b) any fractional Shares or fractional Deposited Securities nor (c) a number of Shares or Deposited Securities which upon application of the ADS to Shares ratio would give rise to fractional ADSs. No Shares shall be accepted for deposit unless accompanied by evidence, if any is required by the Depositary, that is reasonably satisfactory to the Depositary or the Custodian that all conditions to such deposit have been satisfied by the person depositing such Shares under the laws and regulations of Japan and any necessary approval has been granted by any applicable governmental body in Japan, if any. The Depositary may issue ADSs against evidence of rights to receive Shares from the Company, any agent of the Company or any custodian, registrar, transfer agent, clearing agency or other entity involved in ownership or transaction records in respect of the Shares. Such evidence of rights shall consist of written blanket or specific guarantees of ownership of Shares furnished by the Company or any such custodian, registrar, transfer agent, clearing agency or other entity involved in ownership or transaction records in respect of the Shares.
在不 限制上述規定的情況下,存管人不得在知情情況下接受根據《證券法》規定登記的任何股份或 其他證券的存放,除非(i)登記聲明對該等股份或其他證券有效,或(ii)按照第2.14條規定的條款進行存放,或(B)任何 股票或其他證券,其存放將違反公司章程的任何規定。就上句而言,保存人應有權依賴根據保存協議作出或被視為作出的陳述和保證,且無需進行任何進一步調查。存管人將遵守本公司的書面指示 (存管人合理提前收到),在該指示中合理指定的時間和情況下,不接受該指示中確定的任何股份進行存管,以促進公司 遵守美國證券法。
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本公司已通知託管人,截至《存款協議》之日,本公司或其所涵蓋的任何實體均未 開展或計劃開展任何FEFTA指定業務。然而,託管銀行已獲告知,根據於《存款協議》日期生效的《自由貿易協定》,倘若本公司或其涵蓋的任何FEFTA涵蓋實體確實從事任何FEFTA 指定業務,則託管銀行其後不能合法接受任何股份存放,除非或直至(X)託管銀行已向適用的日本政府當局提交《FEFTA預先通知》以供審批,及(Y)就建議存放的股份而言, FEFTA法定等待期均已屆滿。因此,如果本公司已通知託管人本公司或其任何FEFTA涵蓋實體確實從事FEFTA指定業務,則託管人應 在(X)託管人已向適用的日本政府當局提交FEFTA預先通知以供批准之前,及(Y)FEFTA法定等待期滿後(每種情況下均與擬交存的股份有關),不得接受任何股份進行託管。因此,如果本公司或其任何FEFTA涵蓋的實體確實從事FEFTA指定的任何業務, 任何打算在該等情況下交存股份的人士必須在擬交存股份 之前通知託管人,同時考慮到適用的FEFTA等待期以及FEFTA法定等待期令人滿意的 到期可能導致的延遲。根據《存託協議》或任何美國存託憑證,託管人並無接受任何投資者存入股份的合約義務,亦無向任何擬存入股份的投資者提交任何FEFTA預先通知。
2.4存款證券的登記和保管。託管人應於每次向託管人交付登記股份(或根據本細則第IV條存放的其他證券)時,指示託管人將該等股份連同上述其他文件,連同適當的轉讓或批註文書(S)連同加蓋適當印花的文書( )交予股份過户處,以便股份過户登記(一旦完成轉讓及登記,費用由受託保管人、託管人或任何一位代名人承擔)。已交存的證券應由託管人或賬户託管人持有,並按託管人或代名人的順序,分別代表持有人和實益所有人,在託管人或託管人確定的地點(S)持有。 儘管《託管協議》另有規定,任何美國存託憑證(S)或與美國存託憑證和相應的託管財產有關的任何其他文書或協議,以託管人、託管人或其各自代名人的名義登記已交存的證券,應在適用法律允許的最大範圍內,將適用的託管證券的記錄所有權授予託管機構、託管人或適用的代名人,此類託管證券的受益所有權權利和權益始終歸屬於代表託管證券的美國存託憑證的實益所有人。 儘管有上述規定,託管機構、託管人和適用的代名人在任何時候都有權根據《存款協議》規定的條款,僅代表代表託管資產的美國存託憑證的持有人和實益所有人行使所有託管財產的受益所有權。如適用,代表美國存託憑證的美國存託憑證(S)。託管人、託管人及其各自的代名人在所有情況下應被視為具有代表存託財產的美國存託憑證持有人和實益擁有人就存託財產採取行動的所有必要權力和權限,在向託管人、託管人或其各自代名人支付款項或根據其指示或提供的信息後,應授權所有人員 依賴該等權力和授權。
第 2.5節發放美國存託憑證。託管人已與託管人作出安排,讓託管人在收到股份存款後向託管人確認:(I)已根據第2.3節進行股份存款,(Ii)該等存放的證券已記錄在託管人、託管人或其中一人的代名人名下, 由股份登記處或代表本公司保存的股東登記冊或JASDEC的賬簿上,(Iii)所有所需文件已收到,及(Iv)獲交付美國存託憑證的收件人(S)及須如此交付的美國存託憑證數目。此類通知可通過信件、電報、電傳、SWIFT報文發出,或通過傳真或其他電子傳輸方式發出,風險和費用由押金人承擔。在收到託管人的通知後,受制於《存託協議》的條款和條件及適用法律,託管人應向 或根據遞交給託管人的通知中指定的人(S)的命令,簽發代表如此存放的股份的美國存託憑證,如適用,應籤立並交付由該人(S)以S名義登記的主要辦公室收據(S),並證明該人(S)有權持有的美國存託憑證總數,但在每一種情況下,僅在向託管人支付接受股票託管和發行美國存託憑證(見本合同第5.9節和附件B)的美國存托股份手續費和手續費以及與此類存款、股份轉讓和發行美國存托股份相關的所有税費和政府手續費(S)之後。 在收到美國存托股份持有人滿意的指示以及支付適用税費和託管人就美國存託憑證的發行、註銷和轉換(如本合同第5.9節和附件B所述)的美國存托股份手續費時,託管人還應 在遵守《存款協議》和適用法律的適用條款和條件下,就將一個系列的現有美國存託憑證轉換為另一個系列的美國存託憑證而發行新的美國存託憑證 (例如,與將 受限美國存託憑證轉換為可自由轉讓的美國存託憑證和將部分權利美國存託憑證轉換為完全權利美國存託憑證有關),在這種情況下,託管銀行應(I)僅發行與相應 系列現有美國存託憑證註銷數量相等的一個系列的新美國存託憑證。及(Ii)僅在託管人已在適用範圍內指示託管人將相應股份從為適用的美國存托股份系列維持的適用託管賬户轉出或轉入適用託管賬户的情況下,方可處理此類美國存托股份轉換。託管人應僅發行整數字的美國存託憑證,並在適用的情況下交付證明美國存託憑證整數的美國存託憑證(S)。
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2.6藥品不良反應的轉讓、合併和拆分。
(A)轉讓。 註冊官應將美國存託憑證(及其所代表的美國存託憑證)的轉讓登記在為此目的而保存的賬簿上 ,託管銀行應(X)註銷該等美國存託憑證並籤立新的美國存託憑證,證明其總數與由託管機構註銷的美國存託憑證所證明的數目相同,(Y)促使註冊官會籤該等新的美國存託憑證,以及(Z)將該等新的美國存託憑證交付給有權獲得該等ADR的人,或應其命令交付該等新的美國存託憑證。如果下列條件均已滿足:(I)美國存託憑證已由持有人(或持有人正式授權的受託代表)為進行轉讓而正式交付其主要辦事處的託管機構,(Ii)已交回的美國存託憑證已妥為背書或附有適當的轉讓文書(包括根據標準證券業慣例的簽字擔保),(Iii)已交回的美國存託憑證已加蓋適當印花(如紐約州或美國法律要求),和(Iv)所有適用的費用、保管人的收費和發生的費用,以及所有適用的税費和政府收費(如本合同第5.9節和附件B所述)均已支付,然而,在每種情況下,受試者,遵守適用的美國存託憑證、存款協議和適用法律的條款和條件,每種情況下的條款和條件均與當時有效。
(B)合併和拆分。登記官應將拆分或合併的美國存託憑證(及其所代表的美國存託憑證)登記在為此目的而保存的賬簿上,託管銀行應(X)註銷該等美國存託憑證並按所請求的美國存託憑證數量籤立新的美國存託憑證,但總數不得超過由託管機構註銷的美國存託憑證所證明的美國存託憑證的數目,(Y)促使登記官會籤該等新的美國存託憑證,以及(Z)將該等新的美國存託憑證交付給或應其持有人的命令交付。如果滿足以下每個條件:(I)ADR已由持有人(或由持有人的正式授權代理人)正式交付給託管機構,以便進行拆分或合併,以及(Ii)託管機構的所有適用費用和收費以及由此產生的費用,以及所有適用的税費和政府收費(如本合同第5.9節和附件B所述)已支付,然而,在每種情況下,受試者, 適用美國存託憑證、存款協議和適用法律的條款和條件,在每種情況下,均以當時有效。
Section 2.7 Surrender of ADSs and Withdrawal of Deposited Securities. The Holder of ADSs shall be entitled to Delivery (at the Custodian’s designated office) of the Deposited Securities at the time represented by the ADSs upon satisfaction of each of the following conditions: (i) the Holder (or a duly-authorized attorney of the Holder) has duly Delivered ADSs to the Depositary at its Principal Office (and if applicable, the ADRs evidencing such ADSs) for the purpose of withdrawal of the Deposited Securities represented thereby, (ii) if applicable and so required by the Depositary, the ADRs Delivered to the Depositary for such purpose have been properly endorsed in blank or are accompanied by proper instruments of transfer in blank (including signature guarantees in accordance with standard securities industry practice), (iii) if so required by the Depositary, the Holder of the ADSs has executed and delivered to the Depositary a written order directing the Depositary to cause the Deposited Securities being withdrawn to be Delivered to or upon the written order of the person(s) designated in such order, and (iv) all applicable ADS fees and charges of, and expenses incurred by, the Depositary and all applicable taxes and governmental charges (as are set forth in Section 5.9 and Exhibit B) have been paid, 然而,在每種情況下,受試者、證明已交存美國託憑證的美國託憑證的條款和條件、存款協議、公司的公司章程和任何適用的法律和JASDEC的規則,以及任何適用的法律和規則,以及有關或管轄 已存存證券的任何條款,在每種情況下均為有效。
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在 滿足上述各項條件後,存管人(i)應取消向其提交的美國存託憑證(以及,如適用, 證明如此交付的ADS),(ii)應指示註冊處記錄如此交付的ADS的取消, 和(iii)應指示託管人交付,或安排交付,在每種情況下,不得不不合理延遲,以註銷的美國存託證券為代表的存託證券,連同存託證券的任何證書或其他所有權文件, 或其電子轉讓的證據(如有)(視情況而定)(視情況而定),或根據在向存託人交付的訂單中指定的 的書面訂單, 然而,在每一種情況下,存款協議 、證明已註銷美國存託憑證的美國存託憑證、公司公司章程、任何適用法律和 JASDEC規則的條款和條件,以及存託證券的條款和條件,在每種情況下 生效。
存管人不得接受交出代表少於一(1)股股份的美國存託證券。在向其交付代表 股份數量而不是整數的情況下,存託人應根據本協議的條款促使交付適當的整數股份的所有權 ,並應根據存託人的酌情決定,(i)將代表任何剩餘零碎股份的ADS數量返還給提交 此類ADS的人,或(ii)出售或促使出售如此交出的ADS所代表的零碎股份 ,並將出售所得款項(扣除(a)存託人的適用費用和費用以及開支 以及(b)預扣税款)滙予交出ADS的人士。
收到ADS持有人滿意的指示,並支付存管人就發行、註銷和轉換ADS的適用税費和費用後 (如本協議第5.9節和附件B所述),保存人還應 ,在遵守《存款協議》的適用條款和條件以及《存款協議》和適用法律的前提下,在 將一個系列的ADS轉換為另一個系列的ADS時,取消ADS(例如,與受限ADS轉換為可自由轉讓ADS以及部分權利ADS轉換為完全權利ADS相關),在這種情況下,(i)如此取消的一個系列的ADS的 數目應等於相應系列的發行ADS的數目,及(ii)存管人 應在適用的情況下指示託管人將相應股份從適用的託管賬户轉入適用的託管賬户 適用於ADS系列。
儘管 任何ADR或存款協議中包含任何其他內容,存管人可向存管人的主要辦事處交付存管財產 ,包括(i)任何現金股息或現金分配,或(ii)出售任何 非現金分配的任何收益,存管人當時持有的有關已交回註銷和撤回的美國存託憑證所代表的存託證券。應任何持有人如此交出美國存託憑證的要求、風險和費用,併為該持有人的賬户, 存託人應指示託管人將託管人就該等美國存託憑證持有的任何託管財產(託管證券除外) 轉交給存託人,以便交付至存託人的主要辦事處。此類指示 應通過信函發出,或應持有人的要求,以電報、電傳或傳真方式發出。
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公司已通知存管人,截至存管協議之日,公司或其任何FEFTA涵蓋實體均未 開展、開展或計劃開展任何FEFTA指定業務。然而,存管人已被告知,根據 FEFTA(截至存管協議日期生效),如果本公司或其任何FEFTA涵蓋實體確實從事某些 FEFTA指定業務,受限於"特定收購,德亭)",任何預期在向存管人交出美國存託憑證以註銷時收到股份交付的外國 投資者可能需要根據FEFTA向適用的日本政府當局發出FEFTA通知 ,並等待FEFTA法定等待期 的令人滿意的批准,在每種情況下,在接受交付擬撤回的股份之前, 在向存管人交出美國存託憑證以註銷後,擬撤回的股份。因此,如果本公司或其任何FEFTA涵蓋實體確實從事 某些FEFTA指定業務受到"特定收購,德亭)", 作為希望向存管人交出美國存託憑證以註銷以撤回存托股份的外國投資者的美國存託憑證持有人和受益所有人必須及時提交,或通知他們打算直接交付股份的人員 及時提交一份FEFTA預通知,並確保FEFTA法定等待期的滿意,在向保存人提交 美國存託憑證以註銷之前。如果本公司已通知存管人,本公司或其任何FEFTA涵蓋的 實體確實從事某些FEFTA指定業務,受限於"特定收購,德亭)" ,存管人不會接受外國投資者或為外國投資者註銷的美國存託憑證,除非且直至其收到令人滿意的保證,即已發出任何所需的FEFTA通知,且已發生FEFTA法定等待期 ,在每種情況下,就擬撤回並交付給 外國投資者的股份而言。
第 2.8節ADS的執行和交付、轉讓等的限制;交付、轉讓等的中止。
(a)其他 要求。作為執行和交付、登記任何ADS的發行、轉讓、拆分、合併 或交出、交付任何分派或撤回任何託管財產的先決條件,存管人或 存管人可要求(i)股票存管人或美國存託憑證或美國存託憑證的提交人支付足以償還 本公司須繳付任何税項或其他政府收費,以及任何股份轉讓或登記費(包括與存放或撤回股份有關的任何此類税款或 收費和費用)以及支付第5.9節和附件B中規定的存管人的任何適用費用和費用,(ii)出示令其滿意的證明,證明任何簽名或第3.1條所設想的任何其他事項的身份和一致性,及(iii)遵守(A)任何有關美國存託憑證或美國存託憑證的執行和交付或存託證券的撤回的法律或政府法規,及(B)存管人和公司可能制定的合理法規 ,與代表性ADR(如適用)、存管協議 和適用法律的規定相一致。
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(b)其他 限制。在本公司、存管人的轉讓賬簿、 過户登記處或股份過户登記處已關閉,或如果存管人或本公司認為有必要或可取採取任何該等行動, 出於誠意,隨時或不時因法律或法規的任何要求,任何政府或政府機構 或委員會或任何美國存託憑證或股票上市的證券交易所,或根據存款協議或 代表性美國存託憑證(如適用)的任何條款,或根據任何規定,或管理託管證券,或由於公司股東大會 或任何其他原因,在所有情況下,均須遵守第7.8(a)條。
(c)監管 限制。儘管存管協議或任何ADR有任何相反的規定,持有人有權在任何時候交出 未行使的ADS以撤回與此相關的存管證券,但僅限於(i)因關閉存管人或公司的轉讓簿或因股東大會上投票而存放股份或支付股息而導致 的暫時延遲,(ii)支付費用、税款及類似費用,(iii)遵守與美國存託證券或撤回存託證券有關的任何美國或 外國法律或政府法規,及(iv)指示I.A.具體考慮的其他情況 。(l)表格F—6的一般指示(因此,一般指示可不時修訂 )。
第 2.9節丟失的ADR等。如果任何ADR被肢解、銷燬、丟失或被盜,保存人應簽署並交付 一份相同期限的新ADR,費用由持有人承擔(a) 在美國存託憑證殘缺不全的情況下,以交換和替換 在取消時,或(b) 在美國存託憑證被銷燬、丟失或被盜的情況下,在持有人(i)向保存人提交了書面交換和替換請求 之後,保存人通知該ADR已被善意購買人收購之前,(ii)已 提供該等擔保或賠償(包括賠償保證金)保存人可能要求的,以使其及其任何代理人 免受傷害,並且(iii)已滿足保存人施加的任何其他合理要求,包括,但不限於,保存人滿意的證據,證明該ADR的銷燬、丟失或被盜,其真實性和持有人的所有權。
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第2.10節註銷 和銷燬交出的ADR;記錄的維護。所有交還給保存人的美國存託憑證應由保存人註銷。 已取消的美國存託憑證無權享有存款協議項下的任何利益,或因任何目的而對存託人有效或可強制執行。保存人有權銷燬已註銷的美國存託憑證,但保存人必須保存所有銷燬的美國存託憑證的記錄。 以簿記形式持有的任何美國存託憑證(例如:當存管人使餘額證書證明的美國存託憑證數量減少 時(無需實際銷燬 餘額證書),應視為取消。
第2.11節欺詐。 如果與美國存託憑證相關的任何無人認領的財產因任何原因由託管機構持有,且其持有人尚未認領,或無法通過正常渠道交付給持有人,則託管機構應在與遺棄物權法有關的任何適用法定期限屆滿後,根據美國每個相關州的法律,將該無人認領的財產轉交給有關當局。
Section 2.12 Partial Entitlement ADSs. In the event any Shares are deposited which (i) entitle the holders thereof to receive a per-share distribution or other entitlement in an amount different from the Shares then on deposit or (ii) are not fully fungible (including, without limitation, as to settlement or trading) with the Shares then on deposit (the Shares then on deposit collectively, “Full Entitlement Shares” and the Shares with different entitlement, “Partial Entitlement Shares”), the Depositary shall (i) cause the Custodian to hold Partial Entitlement Shares separate and distinct from Full Entitlement Shares, and (ii) subject to the terms of the Deposit Agreement, issue ADSs representing Partial Entitlement Shares which are separate and distinct from the ADSs representing Full Entitlement Shares, by means of separate CUSIP numbering and legending (if necessary) and, if applicable, by issuing ADRs evidencing such ADSs with applicable notations thereon (“Partial Entitlement ADSs/ADRs” and “Full Entitlement ADSs/ADRs”, respectively). If and when Partial Entitlement Shares become Full Entitlement Shares, the Depositary shall convert the Partial Entitlement ADSs for Full Entitlement ADSs only upon receipt of applicable and satisfactory instructions from ADS Holders (to the extent ADS Holder instructions are deemed necessary and appropriate by the Depositary) and payment of applicable taxes and the ADS fees and charges of the Depositary (as set forth in Section 5.9 and Exhibit B hereto) for each of the issuance, cancellation, transfer and conversion processes undertaken in connection with the removal of distinctions between the Partial Entitlement ADRs, the Partial Entitlement ADSs and/or the Partial Entitlement Shares (on the one hand) and the Full Entitlement ADRs, the Full Entitlement ADSs and/or the Full Entitlement Shares (on the other hand), and subject to the applicable terms and conditions of, and contemplated in, the Deposit Agreement and applicable law, by (a) giving notice thereof to Holders of Partial Entitlement ADSs and giving Holders of Partial Entitlement ADRs the opportunity to exchange such Partial Entitlement ADRs for Full Entitlement ADRs, (b) causing the Custodian to transfer the Partial Entitlement Shares into the account of the Full Entitlement Shares, and (c) taking such actions as are necessary to convert the Partial Entitlement ADRs and ADSs, for the corresponding Full Entitlement ADRs and ADSs on the other, in which case, the number of Full Entitlement ADSs issued shall equal the number of Partial Entitlement ADSs cancelled. Holders and Beneficial Owners of Partial Entitlement ADSs shall only be entitled to the entitlements of Partial Entitlement Shares. Holders and Beneficial Owners of Full Entitlement ADSs shall be entitled only to the entitlements of Full Entitlement Shares. All provisions and conditions of the Deposit Agreement shall apply to Partial Entitlement ADRs and ADSs to the same extent as Full Entitlement ADRs and ADSs, except as contemplated by this Section 2.12. The Depositary is authorized to take any and all other actions as may be necessary (including, without limitation, making the necessary notations on ADRs) to give effect to the terms of this Section 2.12. The Company agrees to give timely written notice to the Depositary if any Shares issued or to be issued are Partial Entitlement Shares and shall assist the Depositary with the establishment of procedures enabling the identification of Partial Entitlement Shares upon Delivery to the Custodian.
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Section 2.13 Certificated/Uncertificated ADSs. Notwithstanding any other provision of the Deposit Agreement, the Depositary may, at any time and from time to time, issue ADSs that are not evidenced by ADRs (such ADSs, the “Uncertificated ADS(s)” and the ADS(s) evidenced by ADR(s), the “Certificated ADS(s)”). When issuing and maintaining Uncertificated ADS(s) under the Deposit Agreement, the Depositary shall at all times be subject to (i) the standards applicable to registrars and transfer agents maintaining direct registration systems for equity securities in New York and issuing uncertificated securities under New York law, and (ii) the terms of New York law applicable to uncertificated equity securities. Uncertificated ADSs shall not be represented by any instruments but shall be evidenced by registration in the books of the Depositary maintained for such purpose. Holders of Uncertificated ADSs, that are not subject to any registered pledges, liens, restrictions or adverse claims of which the Depositary has notice at such time, shall at all times have the right to exchange the Uncertificated ADS(s) for Certificated ADS(s) of the same type and class, subject in each case to (x) applicable laws and any rules and regulations the Depositary may have established in respect of the Uncertificated ADSs, and (y) the continued availability of Certificated ADSs in the U.S. Holders of Certificated ADSs shall, if the Depositary maintains a direct registration system for the ADSs, have the right to exchange the Certificated ADSs for Uncertificated ADSs upon (i) the due surrender of the Certificated ADS(s) to the Depositary for such purpose and (ii) the presentation of a written request to that effect to the Depositary, subject in each case to (a) all liens and restrictions noted on the ADR evidencing the Certificated ADS(s) and all adverse claims of which the Depositary then has notice, (b) the terms of the Deposit Agreement and the rules and regulations that the Depositary may establish for such purposes hereunder, (c) applicable law, and (d) payment of the Depositary fees and expenses applicable to such exchange of Certificated ADS(s) for Uncertificated ADS(s). Uncertificated ADSs shall in all material respects be identical to Certificated ADS(s) of the same type and class, except that (i) no ADR(s) shall be, or shall need to be, issued to evidence Uncertificated ADS(s), (ii) Uncertificated ADS(s) shall, subject to the terms of the Deposit Agreement, be transferable upon the same terms and conditions as uncertificated securities under New York law, (iii) the ownership of Uncertificated ADS(s) shall be recorded on the books of the Depositary maintained for such purpose and evidence of such ownership shall be reflected in periodic statements provided by the Depositary to the Holder(s) in accordance with applicable New York law, (iv) the Depositary may from time to time, upon notice to the Holders of Uncertificated ADSs affected thereby, establish rules and regulations, and amend or supplement existing rules and regulations, as may be deemed reasonably necessary to maintain Uncertificated ADS(s) on behalf of Holders, provided that (a) such rules and regulations do not conflict with the terms of the Deposit Agreement and applicable law, and (b) the terms of such rules and regulations are readily available to Holders upon request, (v) the Uncertificated ADS(s) shall not be entitled to any benefits under the Deposit Agreement or be valid or enforceable for any purpose against the Depositary or the Company unless such Uncertificated ADS(s) is/are registered on the books of the Depositary maintained for such purpose, (vi) the Depositary may, in connection with any deposit of Shares resulting in the issuance of Uncertificated ADSs and with any transfer, pledge, release and cancellation of Uncertificated ADSs, require the prior receipt of such documentation as the Depositary may deem reasonably appropriate, and (vii) upon termination of the Deposit Agreement, the Depositary shall not require Holders of Uncertificated ADSs to affirmatively instruct the Depositary before remitting proceeds from the sale of the Deposited Property represented by such Holders’ Uncertificated ADSs under the terms of Section 6.2. When issuing ADSs under the terms of the Deposit Agreement, including, without limitation, issuances pursuant to Sections 2.5, 4.2, 4.3, 4.4, 4.5 and 4.11, the Depositary may in its discretion determine to issue Uncertificated ADSs rather than Certificated ADSs, unless otherwise specifically instructed by the applicable Holder to issue Certificated ADSs. All provisions and conditions of the Deposit Agreement shall apply to Uncertificated ADSs to the same extent as to Certificated ADSs, except as contemplated by this Section 2.13. The Depositary is authorized and directed to take any and all actions and establish any and all procedures deemed reasonably necessary to give effect to the terms of this Section 2.13. Any references in the Deposit Agreement or any ADR(s) to the terms “American Depositary Share(s)” or “ADS(s)” shall, unless the context otherwise requires, include Certificated ADS(s) and Uncertificated ADS(s). Except as set forth in this Section 2.13 and except as required by applicable law, the Uncertificated ADSs shall be treated as ADSs issued and outstanding under the terms of the Deposit Agreement. In the event that, in determining the rights and obligations of parties hereto with respect to any Uncertificated ADSs, any conflict arises between (a) the terms of the Deposit Agreement (other than this Section 2.13) and (b) the terms of this Section 2.13, the terms and conditions set forth in this Section 2.13 shall be controlling and shall govern the rights and obligations of the parties to the Deposit Agreement pertaining to the Uncertificated ADSs.
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第2.14節限制使用美國存託憑證。託管人應本公司的要求和費用,建立程序,允許根據本協議存放屬於受限證券的 股份,以便該等股份的持有人能夠以根據本協議條款發行的美國存託憑證(ADS)的形式持有其在該等受限 證券中的所有權權益(該等股份,“受限股份”)。於接獲本公司接受本協議項下之受限制股份存放之書面要求後,託管銀行同意訂立程序,準許受制於 存放該等受限制股份及發行代表有權收取該等已交存受限制股份之權利之美國存託憑證(如以美國存托股份發行) 協議及適用之美國存託憑證(ADR)(該等美國存託憑證、“受限美國存託憑證”及證明該等受限美國存託憑證之美國存託憑證)。儘管第2.14節載有任何規定,託管銀行和本公司仍可在法律不禁止的範圍內,同意按本公司和託管銀行認為必要和適當的條款和條件,以未經認證的 形式(“未經認證的受限美國存託憑證”)發行受限美國存託憑證。公司應協助託管人建立此類程序,並同意其應採取託管人滿意的所有必要步驟,以確保此類程序的建立不違反《證券法》或任何其他適用法律的規定。受限美國存託憑證的存放人和受限美國存託憑證持有人可能被要求 在該等受限股份、轉讓受限美國存託憑證和受限美國存託憑證或撤回受限美國存託憑證所代表的受限美國存託憑證所代表的受限 股份之前,提供託管人或本公司可能要求的書面證明或協議。 公司應以書面形式向受託保管人提供附在受限美國存託憑證上的圖例(S)(如果受限美國存託憑證將作為證書美國存託憑證發行),或包括在不時向無證美國存託憑證持有人發出的聲明中 (如以無證受限美國存託憑證發行),這些圖例應(I)採用託管人合理滿意的形式,及(Ii) 載有受限美國存託憑證及(如適用)證明受限美國存託憑證的受限美國存託憑證可轉讓或撤回受限股份的特定情況。存放受限制股份時發行的受限制美國存託憑證應在託管人的賬簿上單獨註明,而如此存放的受限制股份應在法律要求的範圍內與根據本協議持有的其他受託證券分開和區分開來。受限美國存託憑證沒有資格納入任何 賬面結算系統,包括但不限於DTC(除非(X)本公司和託管銀行另有協議,(Y)納入受限美國存託憑證可被適用的結算系統接受,以及(Z)此類納入美國存託憑證的條款被該類型受限證券委員會普遍接受),且不得以任何方式與根據本協議條款發行的非受限美國存託憑證互換。受限美國存託憑證,以及(如果適用)證明受限美國存託憑證的受限美國存託憑證,只有在下列文件交付託管人後才可由其持有人轉讓:(I)寄存協議另外考慮的所有文件和(Ii)對寄存規定滿意的律師意見,除其他外受限制美國存託憑證的提交條件,以及(如適用)證明受限美國存託憑證的受限美國存託憑證可由其持有人根據適用的證券法律和適用於提交轉讓的受限美國存託憑證的圖例中的轉讓限制轉讓。除第2.14節所述及適用法律另有規定外,受限美國存託憑證及證明受限美國存託憑證的受限美國存託憑證應視為根據《存款協議》條款發行及未償還的美國存託憑證及美國存託憑證。如果在確定協議各方關於任何受限美國存託憑證的權利和義務時,(A)存款協議的條款(本第2.14節除外)與(B)(I)本第2.14節或(Ii)適用的受限美國存託憑證的條款之間發生任何衝突,則本第2.14節和受限美國存託憑證的條款和 條件應受控制,並管轄 存款協議各方關於所存放的受限股票、受限美國存託憑證和受限美國存託憑證的權利和義務。
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如果受限美國存託憑證、受限美國存託憑證和受限股份不再是受限證券,託管人在收到(X)律師對託管陳述滿意的意見後,除其他外,受限美國存託憑證、受限美國存託憑證和受限股份 截至此時或與交易相關的受限證券,(Y)本公司和/或適用的美國存托股份持有人要求解除適用於受限美國存託憑證、受限美國存託憑證和受限股份的限制的指示,以及(Z)就每次發行、註銷和註銷支付適用税款以及託管人的美國存托股份費用和收費(如本合同第5.9節和證據B所述)。與取消適用於受限美國存託憑證、受限美國存託憑證和/或受限股份(視情況而定)有關的轉讓和轉換程序應:(I)通過將受限美國存託憑證轉換為可自由轉讓的美國存託憑證,消除根據第2.14節規定持有的適用的受限美國存託憑證與根據《存款協議》條款存放的其他非受限股份之間可能建立的區別和分離 (除其他事項外,包括取消受限美國存託憑證和發行相應的可自由轉讓的美國存託憑證),並指示託管人將相應股份轉出或轉入為 適用美國存托股份系列而維持的適用託管賬户,(Ii)以與根據存款協議條款發行和未償還的非限制性ADR或受限ADS相同的條款對待新的無限制ADR和ADS,並與其完全互換,以及(Iii)採取 一切必要行動,一方面消除 適用的受限ADR和受限ADS在本第2.14節下分別存在的任何區別、限制和限制,另一方面,非限制性美國存託憑證或限制性美國存託憑證的其他美國存託憑證和美國存託憑證,包括但不限於,使新的非限制性美國存託憑證有資格納入適用的記賬結算系統。]
第三條持有人的某些義務
和美國存託憑證的實益所有人
Section 3.1 Proofs, Certificates and Other Information. Any person presenting Shares for deposit, any Holder and any Beneficial Owner may be required, and every Holder and Beneficial Owner agrees, from time to time to provide to the Depositary and the Custodian such proof of citizenship or residence, taxpayer status, payment of all applicable taxes or other governmental charges, exchange control approval, legal or beneficial ownership of ADSs and Deposited Property, compliance with applicable laws, the terms of the Deposit Agreement or the ADR(s) evidencing the ADSs and the provisions of, or governing, the Deposited Property, to execute such certifications and to make such representations and warranties, and to provide such other information and documentation (or, in the case of Shares in registered form presented for deposit, such information relating to the registration on the books of the Company or of the Share Registrar) as the Depositary or the Custodian may deem necessary or proper or as the Company may reasonably require by written request to the Depositary consistent with its obligations under the Deposit Agreement and the applicable ADR(s). The Depositary and the Registrar, as applicable, may withhold the execution or delivery or registration of transfer of any ADR or ADS or the distribution or sale of any dividend or distribution of rights or of the proceeds thereof or, to the extent not limited by the terms of Section 7.8(a), the delivery of any Deposited Property until such proof or other information is filed or such certifications are executed, or such representations and warranties are made, or such other documentation or information provided, in each case to the Depositary’s, the Registrar’s and the Company’s satisfaction. The Depositary shall provide the Company, in a timely manner, with copies or originals if necessary and appropriate of (i) any such proofs of citizenship or residence, taxpayer status, or exchange control approval or copies of written representations and warranties which it receives from Holders and Beneficial Owners, and (ii) any other information or documents which the Company may reasonably request and which the Depositary shall request and receive from any Holder or Beneficial Owner or any person presenting Shares for deposit or ADSs for cancellation, transfer or withdrawal. Nothing herein shall obligate the Depositary to (i) obtain any information for the Company if not provided by the Holders or Beneficial Owners, or (ii) verify or vouch for the accuracy of the information so provided by the Holders or Beneficial Owners.
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Section 3.2 Liability for Taxes and Other Charges. Any tax or other governmental charge payable by the Custodian or by the Depositary with respect to any Deposited Property, ADSs or ADRs shall be payable by the Holders and Beneficial Owners to the Depositary. The Company, the Custodian and/or the Depositary may withhold or deduct from any distributions made in respect of Deposited Property held on behalf of such Holder and/or Beneficial Owner, and may sell for the account of a Holder and/or Beneficial Owner any or all of such Deposited Property and apply such distributions and sale proceeds in payment of, any taxes (including applicable interest and penalties) or charges that are or may be payable by Holders or Beneficial Owners in respect of the ADSs, Deposited Property and ADRs, the Holder and the Beneficial Owner remaining liable for any deficiency. The Custodian may refuse the deposit of Shares and the Depositary may refuse to issue ADSs, to deliver ADRs, register the transfer of ADSs, register the split-up or combination of ADRs and (subject to Section 7.8(a)) the withdrawal of Deposited Property until payment in full of such tax, charge, penalty or interest is received. Every Holder and Beneficial Owner agrees to indemnify the Depositary, the Company, the Custodian, and any of their agents, officers, employees and Affiliates for, and to hold each of them harmless from, any claims with respect to taxes (including applicable interest and penalties thereon) arising from (i) any ADSs held by such Holder and/or owned by such Beneficial Owner, (ii) the Deposited Property represented by the ADSs, and (iii) any transaction entered into by such Holder and/or Beneficial Owner in respect of the ADSs and/or the Deposited Property represented thereby. Notwithstanding anything to the contrary contained in the Deposit Agreement or any ADR, the obligations of Holders and Beneficial Owners under this Section 3.2 shall survive any transfer of ADSs, any cancellation of ADSs and withdrawal of Deposited Securities, and the termination of the Deposit Agreement.
Section 3.3 Representations and Warranties on Deposit of Shares. Each person depositing Shares under the Deposit Agreement shall be deemed thereby to represent and warrant that (i) such Shares and the certificates therefor are duly authorized, validly issued, fully paid, non-assessable and legally obtained by such person, (ii) all preemptive (and similar) rights, if any, with respect to such Shares have been validly waived or exercised, (iii) the person making such deposit is duly authorized so to do, (iv) the Shares presented for deposit are free and clear of any lien, encumbrance, security interest, charge, mortgage or adverse claim, (v) the Shares presented for deposit are not, and the ADSs issuable upon such deposit will not be, Restricted Securities (except as contemplated in Section 2.14), (vi) the Shares presented for deposit have not been stripped of any rights or entitlements, and (vii) all requisite regulatory approvals and clearances have been duly obtained, and all requisite applicable regulatory notifications have been duly made, in Japan (including, without limitation, all approvals, clearances and notifications under FEFTA (if any)) in respect of the transfer of the Shares to the Custodian, the Depositary or their respective nominees in connection with the deposit of the Shares under the Deposit Agreement. Such representations and warranties shall survive the deposit and withdrawal of Shares, the issuance and cancellation of ADSs in respect thereof and the transfer of such ADSs. If any such representations or warranties are false in any way, the Company and the Depositary shall be authorized, at the cost and expense of the person depositing Shares, to take any and all actions necessary to correct the consequences thereof.
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第3.4節遵守 信息請求。儘管存款協議或任何ADR有任何其他規定,每個持有人和受益人 同意遵守公司根據適用法律、 股份或ADS已或將在其註冊、交易或上市的任何證券交易所的規則和要求或公司的公司章程(其目的是 )提供信息, 除其他外,該持有人或受益所有人擁有美國存託憑證(及股份,視情況而定)的身份,以及對該等美國存託憑證有利害關係的任何其他人士的身份、該等權益的性質及各種其他事項, 無論他們在提出該等請求時是否為持有人和/或受益所有人。存管人同意盡其合理努力 ,應公司的要求,並由公司承擔費用,將公司的任何此類請求轉發給持有人,並 將存管人收到的此類請求的任何此類答覆轉發給公司。
Section 3.5 Ownership Restrictions. Notwithstanding any other provision contained in the Deposit Agreement or any ADR(s) to the contrary, the Company may restrict transfers of the Shares where such transfer might result in ownership of Shares exceeding limits imposed by applicable law or the Articles of Incorporation of the Company. The Company may also restrict, in such manner as it deems appropriate, transfers of the ADSs where such transfer may result in the total number of Shares represented by the ADSs owned by a single Holder or Beneficial Owner to exceed any such limits. The Company may, in its sole discretion but subject to applicable law, instruct the Depositary to take action with respect to the ownership interest of any Holder or Beneficial Owner in excess of the limits set forth in the preceding sentence, including, but not limited to, the imposition of restrictions on the transfer of ADSs, the removal or limitation of voting rights or mandatory sale or disposition on behalf of a Holder or Beneficial Owner of the Shares represented by the ADSs held by such Holder or Beneficial Owner in excess of such limitations, if and to the extent such disposition is permitted by applicable law and the Articles of Incorporation of the Company. Nothing herein shall be interpreted as obligating the Depositary or the Company to ensure compliance with the ownership restrictions described in this Section 3.5.
第3.6節 報告義務和監管批准。適用法律和法規可能要求股份持有人和實益擁有人(包括 ADS的持有人和實益擁有人)滿足報告要求,並在某些情況下獲得監管批准。 ADS的持有人和受益所有人全權負責確定和遵守此類報告要求並獲得 此類批准。各持有人和各受益所有人在此同意按照不時生效的適用法律和法規要求的範圍和形式作出此類決定、提交此類報告並獲得此類批准。存管處、 託管人、本公司或其各自的任何代理或聯屬公司均無需代表持有人或實益擁有人採取任何行動,以根據適用法律及 法規確定或滿足該等申報要求或取得該等監管批准。
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第四條保證金
第4.1節現金分配。每當公司擬就 任何存置證券進行現金股息或其他現金分派時,公司應在建議分派前至少二十(20)天向存置人發出通知, 指明, 除其他外, the record date applicable for determining the holders of Deposited Securities entitled to receive such distribution. Upon the timely receipt of such notice, the Depositary shall establish the ADS Record Date upon the terms described in Section 4.9. Upon confirmation of the receipt of (x) any cash dividend or other cash distribution in respect of any Deposited Property (whether from the Company or otherwise), or (y) proceeds from the sale of any Deposited Property held in respect of the ADSs under the terms hereof, the Depositary will (i) if any amounts are received in a Foreign Currency, promptly convert or cause to be converted such cash dividend, distribution or proceeds into Dollars (subject to the terms and conditions of Section 4.8), (ii) if applicable and unless previously established, establish the ADS Record Date upon the terms described in Section 4.9, and (iii) distribute promptly the amount thus received (net of (a) the applicable fees and charges set forth in the Fee Schedule attached hereto as Exhibit B, and (b) applicable taxes withheld) to the Holders entitled thereto as of the ADS Record Date in proportion to the number of ADSs held as of the ADS Record Date. The Depositary shall distribute only such amount, however, as can be distributed without attributing to any Holder a fraction of one cent, and any balance not so distributed shall be held by the Depositary (without liability for interest thereon) and shall be added to and become part of the next sum received by the Depositary for distribution to Holders of ADSs outstanding at the time of the next distribution. If the Company, the Custodian or the Depositary is required to withhold and does withhold from any cash dividend or other cash distribution in respect of any Deposited Securities, or from any cash proceeds from the sales of Deposited Property, an amount on account of taxes, duties or other governmental charges, the amount distributed to Holders on the ADSs shall be reduced accordingly. Such withheld amounts shall be forwarded by the Company, the Custodian or the Depositary to the relevant governmental authority. Evidence of payment thereof by the Company shall be forwarded by the Company to the Depositary upon request. The Depositary will hold any cash amounts it is unable to distribute in a non-interest bearing account for the benefit of the applicable Holders and Beneficial Owners of ADSs until the distribution can be effected or the funds that the Depositary holds must be escheated as unclaimed property in accordance with the laws of the relevant states of the United States. Notwithstanding anything contained in the Deposit Agreement to the contrary, in the event the Company fails to give the Depositary timely notice of the proposed distribution provided for in this Section 4.1, the Depositary agrees to use commercially reasonable efforts to perform the actions contemplated in this Section 4.1, and the Company, the Holders and the Beneficial Owners acknowledge that the Depositary shall have no liability for the Depositary’s failure to perform the actions contemplated in this Section 4.1 where such notice has not been so timely given, other than its failure to use commercially reasonable efforts, as provided herein.
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第4.2節股票分配 。當公司打算進行包括股息或免費分發股份的分配時, 公司應至少在提議的分配前二十(20)天向保存人發出通知,説明, 國際別名適用於有權獲得此類分發的存款證券持有人的記錄日期,以及是否希望將此類分發提供給美國存託憑證持有人。在及時收到公司的此類通知後,託管機構應 根據第4.9節中描述的條款建立美國存托股份備案日期。在收到託管人確認收到本公司如此分派的股份,以及(Y)本公司確認希望將此類分派提供給美國存託憑證持有人和符合第5.7節規定的令人滿意的文件後,託管銀行應(I)根據第 5.9款的規定,按照截至美國存托股份備案日持有的美國存託憑證數量的比例,向持有人分發截至美國存托股份備案日的美國存託憑證,額外的美國存託憑證,總計相當於作為該股息收到的股份數量,或免費分配,在遵守《存託協議》的其他條款 的前提下(包括但不限於:(A)適用的託管費用和收費以及由此產生的開支),或(Ii)如果沒有如此分配額外的美國存託憑證,則採取一切必要的行動,使美國存托股份記錄日期後發行和發行的每一股美國存托股份,在法律允許的範圍內,也代表在由此所代表的託管證券上分配的額外整數 股份中的權利和利益(扣除(A)適用的費用和收費以及由此產生的支出 ,託管和(B)税)。除交付零碎的美國存託憑證外,存託管理人應出售由這些零碎的股份或美國存託憑證的總和表示的股份或美國存託憑證的數量,並按照第 4.1節所述的條款分配淨收益。如果(X)託管人確定財產(包括股份)的任何分配需要繳納託管人有義務扣繳的任何税收或其他政府費用,或者,(Y)公司已通知託管人,它不希望將此類股份分發給ADS持有人,或在履行第5.7條規定的義務時,已通知託管 根據日本法律不能合法地向美國存託憑證的持有人和實益所有人分配股份,或者未能提供令人滿意的文件,證明根據日本法律可以合法地將股份分配給美國存託憑證的持有人和受益所有人,或者提供了美國律師的意見,確定必須根據證券法或其他 法律確定股份必須根據證券法或其他 法律登記才能分發給持有人(且此類登記聲明尚未宣佈生效),託管人可按託管人認為必要和可行的金額和方式,處置全部或部分此類財產(包括股份和認購權),包括公開或私下出售,託管人應根據第4.1節所述條款,將任何此類出售的淨收益(扣除(A)税和(B)託管人的費用和收費以及託管人發生的開支)分配給有權 出售的持有人。保管人應根據《保證金協議》的規定持有和/或分配此類財產的任何未售出餘額。儘管《託管協議》中有任何相反規定,但如果 本公司未能就第4.2條規定的建議分配及時通知託管銀行,託管銀行同意 採取商業上合理的努力來執行本條款4.2規定的行動,並且公司、持有人和受益所有人承認,託管銀行不對託管銀行未能按照本條款規定及時作出此類通知的情況承擔責任。
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第4.3節可選的現金或股票分配。當本公司打算在 存款證券持有人選擇以現金或額外股份的方式進行分派時,本公司應在建議分派前至少六十(60)天 向託管人發出通知,具體説明:除其他外, the record date applicable to holders of Deposited Securities entitled to receive such elective distribution and whether or not it wishes such elective distribution to be made available to Holders of ADSs. Upon the timely receipt of a notice indicating that the Company wishes such elective distribution to be made available to Holders of ADSs, the Depositary shall consult with the Company to determine, and the Company shall assist the Depositary in its determination, whether it is lawful and reasonably practicable to make such elective distribution available to the Holders of ADSs. The Depositary shall make such elective distribution available to Holders only if (i) the Company shall have timely requested that the elective distribution be made available to Holders, (ii) the Depositary shall have determined that such distribution is reasonably practicable and (iii) the Depositary shall have received satisfactory documentation within the terms of Section 5.7. If the above conditions are not satisfied or if the Company requests such elective distribution not to be made available to Holders of ADSs, the Depositary shall establish the ADS Record Date on the terms described in Section 4.9 and, to the extent permitted by law, distribute to the Holders, on the basis of the same determination as is made in Japan in respect of the Shares for which no election is made, either (X) cash upon the terms described in Section 4.1 or (Y) additional ADSs representing such additional Shares upon the terms described in Section 4.2. If the above conditions are satisfied, the Depositary shall establish an ADS Record Date on the terms described in Section 4.9 and establish procedures to enable Holders to elect the receipt of the proposed distribution in cash or in additional ADSs. The Company shall assist the Depositary in establishing such procedures to the extent necessary. If a Holder elects to receive the proposed distribution (X) in cash, the distribution shall be made upon the terms described in Section 4.1, or (Y) in ADSs, the distribution shall be made upon the terms described in Section 4.2. Nothing herein shall obligate the Depositary to make available to Holders a method to receive the elective distribution in Shares (rather than ADSs). There can be no assurance that Holders generally, or any Holder in particular, will be given the opportunity to receive elective distributions on the same terms and conditions as the holders of Shares. Notwithstanding anything contained in the Deposit Agreement to the contrary, in the event the Company fails to give the Depositary timely notice of the proposed distribution provided for in this Section 4.3, the Depositary agrees to use commercially reasonable efforts to perform the actions contemplated in this Section 4.3, and the Company, the Holders and the Beneficial Owners acknowledge that the Depositary shall have no liability for the Depositary’s failure to perform the actions contemplated in this Section 4.3 where such notice has not been so timely given, other than its failure to use commercially reasonable efforts, as provided herein.
第4.4節額外購買美國存託憑證的權利的分配。
(a) 分發 給ADS持有人。每當本公司打算向存管證券持有人分配認購 額外股份的權利時,本公司應在建議分配前至少六十(60)天向存管人發出通知, 指明, 除其他外, the record date applicable to holders of Deposited Securities entitled to receive such distribution and whether or not it wishes such rights to be made available to Holders of ADSs. Upon the timely receipt of a notice indicating that the Company wishes such rights to be made available to Holders of ADSs, the Depositary shall consult with the Company to determine, and the Company shall assist the Depositary in its determination, whether it is lawful and reasonably practicable to make such rights available to the Holders. The Depositary shall make such rights available to Holders only if (i) the Company shall have timely requested that such rights be made available to Holders, (ii) the Depositary shall have received satisfactory documentation within the terms of Section 5.7, and (iii) the Depositary shall have determined that such distribution of rights is reasonably practicable. In the event any of the conditions set forth above are not satisfied or if the Company requests that the rights not be made available to Holders of ADSs, the Depositary shall proceed with the sale of the rights as contemplated in Section 4.4(b) below. In the event all conditions set forth above are satisfied, the Depositary shall establish the ADS Record Date (upon the terms described in Section 4.9) and establish procedures to (x) distribute rights to purchase additional ADSs (by means of warrants or otherwise), (y) enable the Holders to exercise such rights (upon payment of the subscription price and of the applicable (a) fees and charges of, and expenses incurred by, the Depositary and (b) taxes), and (z) deliver ADSs upon the valid exercise of such rights. The Company shall assist the Depositary to the extent necessary in establishing such procedures. Nothing herein shall obligate the Depositary to make available to the Holders a method to exercise rights to subscribe for Shares (rather than ADSs).
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(b) 出售 權利。如果(i)公司未及時要求存管人向持有人提供權利或要求 不向持有人提供權利,(ii)存管人未能在第5.7節的條款內收到令人滿意的文件,或認為向持有人提供權利不合理可行,或(iii)提供的任何權利未 行使且似乎即將失效,保存人應確定以無風險主體身份出售該等 權利是否合法且合理可行,在其認為切實可行的地點,並按其認為切實可行的條款(包括公開或私下出售)出售。 公司應在必要的範圍內協助保存人確定此類合法性和可行性。保存人應根據第4.1條規定的條款,轉換和分配該等銷售所得款項(扣除適用的(a)保存人的費用和費用和支出,以及(b)税款)。
(C)權利失效。如果託管人不能按照第4.4(A)節所述條款向持有人提供任何權利,或不能安排按第4.4(B)節所述條款出售權利,託管人應允許此類權利失效。
託管銀行對以下情況不負責任:(I)未能準確確定向一般持有人或特別是任何持有人提供該等權利是否合法或可行,(Ii)因出售或行使該等權利而產生的任何外匯風險或損失,或 (Iii)代表本公司轉交予持有人的與權利分銷有關的任何資料的內容。
儘管本第4.4節有任何相反的規定,如果註冊(根據《證券法》或任何其他適用法律)的權利或與任何權利相關的證券 可能需要為公司向持有人提供此類權利或此類證券並出售此類權利所代表的 證券,保存人將不向持有人分配該等權利(i),除非根據《證券法》發佈登記聲明(或其他適用法律)適用於該等發行,或(ii)除非本公司認可 存託人意見,本公司在美國的法律顧問和本公司在 的任何其他適用國家的法律顧問,這些權利將被分配,在每種情況下,保存人滿意,其大意是向持有人和受益所有人的發行和銷售該等證券 豁免或不需要登記,證券法或任何其他適用法律的規定。
如果本公司, 託管人或託管人因税收或其他政府收費而被要求託管人或託管人在任何存款財產(包括權利)的任何分配中扣留金額,則分配給美國存託憑證持有人的金額應相應減少。 如果託管人確定任何存款財產(包括股份和認購權)的分配應繳納託管人有義務扣繳的任何税收或其他政府費用,託管人可按託管人認為支付任何該等税項或收費所需及切實可行的金額及方式(包括公開或私下出售),處置全部或 該等存放財產(包括股份及認購權)的一部分。
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不能保證一般持有人,或特別是任何持有人,將有機會按與股份持有人相同的條款和條件獲得或行使權利,或能夠行使該等權利。本公司並無責任就行使該等權利後將收購的任何權利或股份或其他證券提交任何登記 聲明。
第4.5節現金、股份或股份購買權以外的其他分配。
(a) 當 公司打算向存管證券持有人分配除現金、股份或購買額外 股份的權利以外的財產時,公司應及時向存管人發出有關通知,並應表明其是否希望 向存管證券持有人進行此類分配。在收到表明公司希望向美國存託憑證持有人進行此類分配的通知後, 存託人應諮詢公司,公司應協助存託人,以確定向 持有人的此類分配是否合法且合理可行。除非(i)公司已要求 保存人向持有人進行該等分配,(ii)保存人應在 第5.7節條款內收到令人滿意的文件,以及(iii)保存人應確定該等分配合理可行,否則保存人不得進行該等分配。
(b) 在 收到令人滿意的文件和公司要求向ADS持有人分配財產後,並在作出上述(a)項所述的必要 決定後,保存人應將收到的財產分配給記錄持有人,自ADS 記錄日期,按其各自持有的美國存託憑證數量的比例,並以保存人認為可行的方式完成該等分配(i)在收到付款後或扣除保存人的適用費用和收費以及發生的費用後,以及(ii)扣除任何預扣税款後。保存人可以處置全部或部分如此分配和存放的財產, 的金額和方式(包括公開或私人出售),其數額和方式取決於保存人認為切實可行或必要,以支付適用於分配的任何 税款(包括適用的利息和罰款)或其他政府費用。
(c) 如果 (i)公司未要求保存人向持有人作出該等分配,或要求保存人不向持有人作出該等分配, (ii)保存人未收到第5.7條規定的令人滿意的文件,或(iii)保存人認定 該等分配的全部或部分不合理可行,保存人應在其認為切實可行的地方和條件下,以公開或私下出售的方式出售或安排出售該財產,並應(i)安排 出售 此類出售的收益,如有,(ii)分配存管人收到的轉換所得款項(扣除 適用的(a)費用和收費,以及由下列人員承擔的費用,根據 第4.1節的條款,自ADS記錄日起向持有人支付存託人和(b)税款。如果保存人無法出售該等財產,保存人可以以其認為在當時情況下合理可行的任何方式為持有人的帳户處置該等財產。
(D)對於(I)未能準確確定將第4.5條所述財產提供給一般持有人或任何特別持有人是否合法或可行,或(Ii)因出售或處置該財產而產生的任何損失, 保管人和本公司概不負責。
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第4.6節以無記名形式存放的證券的分配。在符合本第四條條款的情況下,託管人或託管人以不記名形式持有的已存放證券的任何此類分發,應在託管人或託管人向 公司適當出示任何相關優惠券、利爪或證書後,以美國存托股份(JD)各自的 持有人(S)的賬户為代管。本公司應立即將此類分發通知託管銀行。託管人或託管人應及時出示與任何此類 分發有關的優惠券、利爪或證書。
Section 4.7 Redemption. If the Company intends to exercise any right of redemption in respect of any of the Deposited Securities, the Company shall give notice thereof to the Depositary at least sixty (60) days prior to the intended date of redemption which notice shall set forth the particulars of the proposed redemption. Upon timely receipt of (i) such notice and (ii) satisfactory documentation given by the Company to the Depositary within the terms of Section 5.7, and only if the Depositary shall have determined that such proposed redemption is practicable, the Depositary shall provide to each Holder a notice setting forth the intended exercise by the Company of the redemption rights and any other particulars set forth in the Company’s notice to the Depositary. The Depositary shall instruct the Custodian to present to the Company the Deposited Securities in respect of which redemption rights are being exercised against payment of the applicable redemption price. Upon receipt of confirmation from the Custodian that the redemption has taken place and that funds representing the redemption price have been received, the Depositary shall convert, transfer, and distribute the proceeds (net of applicable (a) fees and charges of, and the expenses incurred by, the Depositary, and (b) taxes), retire ADSs and cancel ADRs, if applicable, upon delivery of such ADSs by Holders thereof and the terms set forth in Sections 4.1 and 6.2. If less than all outstanding Deposited Securities are redeemed, the ADSs to be retired will be selected by lot or on a pro rata basis, as may be determined by the Depositary. The redemption price per ADS shall be the dollar equivalent of the per share amount received by the Depositary (adjusted to reflect the ADS(s)-to-Share(s) ratio) upon the redemption of the Deposited Securities represented by ADSs (subject to the terms of Section 4.8 and the applicable fees and charges of, and expenses incurred by, the Depositary, and taxes) multiplied by the number of Deposited Securities represented by each ADS redeemed.
儘管《託管協議》中有任何相反規定,但如果本公司未能將第4.7節規定的擬議贖回及時通知託管人,託管人同意採取商業上合理的努力來執行第4.7節所述的行動,並且本公司、持有人和實益所有人承認,託管人不對 託管人未能按照本條款第4.7節的規定及時進行第4.7節所述的行動承擔任何責任,除了未能按照本條款的規定使用商業合理的努力外,不承擔任何責任。
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第4.8節外幣兑換。當託管人或託管人以股息或其他分配的方式收到外幣或出售財產所得的淨收益時,託管人認為這些外幣可以在實際可行的基礎上通過出售或其根據適用法律確定的任何其他方式在此時兑換成可轉移到美國並可分配給有權享有的持有人的美元,託管人應通過出售或以其合理確定的任何其他方式將此類外幣兑換成美元。並應根據《存款協議》適用條款的條款分配此類美元(扣除作為附件B的費用明細表中規定的費用和收費,以及預扣的適用税金)。託管人和/或其代理人(可以是託管人的分部、分行或附屬機構) 可以作為任何外幣兑換的委託人。如果託管人分發了使其持有人有權獲得此類美元的權證或其他票據,託管人應在此類權證和/或票據交出時將此類美元分發給此類權證和/或票據的持有人以供註銷,在上述任何一種情況下,託管人均不承擔利息責任。該等分派可按 平均或其他可行基準作出,而無須考慮持有人因實施任何兑換限制或其他原因而有何差別 。
如果此類轉換或分發僅能在任何政府或機構的批准或許可下進行 一般或針對某一特定持有人,則託管機構有權提出其認為合適的批准或許可申請。然而,在任何情況下,保管人均無義務提交此類申請。
如果託管人在任何時候認為託管人收到的任何外幣的兑換和兑換收益的轉移和分配不可行或不合法,或者如果此類兑換、轉讓和分配所需的任何政府當局或機構的批准或許可被拒絕,或者託管人認為無法以合理的 成本或在合理的期限內獲得,託管人可酌情(I)以美元向持有此類兑換的 持有人進行此類兑換和分配,轉讓和分發是合法和可行的,(Ii)將外幣(或證明有權接收外幣的適當文件)分發給合法和可行的持有人,或(Iii) 為有權獲得外幣的 持有人各自的賬户持有(或安排託管人持有)該外幣(不承擔利息責任)。
Section 4.9 Fixing of ADS Record Date. Whenever (a) the Depositary shall receive notice of the fixing of a record date by the Company for the determination of holders of Deposited Securities entitled to receive any distribution (whether in cash, Shares, rights, or other distribution), (b) for any reason the Depositary causes a change in the number of Shares that are represented by each ADS, (c) the Depositary shall receive notice of any meeting of, or solicitation of consents or proxies of, holders of Shares or other Deposited Securities, or (d) the Depositary shall find it necessary or convenient in connection with the giving of any notice, solicitation of any consent or any other matter, the Depositary shall fix the record date (the “ADS Record Date”) for the determination of the Holders of ADS(s) who shall be entitled to receive such distribution, to give instructions for the exercise of voting rights at any such meeting, to give or withhold such consent, to receive such notice or solicitation or to otherwise take action, or to exercise the rights of Holders with respect to such changed number of Shares represented by each ADS. The Depositary shall make reasonable efforts to establish the ADS Record Date as closely as practicable to the applicable record date for the Deposited Securities (if any) set by the Company in Japan and shall not announce the establishment of any ADS Record Date prior to the relevant corporate action having been made public by the Company (if such corporate action affects the Deposited Securities). Subject to applicable law and the provisions of Section 4.1 through 4.8 and to the other terms and conditions of the Deposit Agreement, only the Holders of ADSs at the close of business in New York on such ADS Record Date shall be entitled to receive such distribution, to give such voting instructions, to receive such notice or solicitation, or otherwise take action.
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Section 4.10 Voting of Deposited Securities. As soon as practicable after receipt of notice of any meeting at which the holders of Deposited Securities are entitled to vote, or of solicitation of consents or proxies from holders of Deposited Securities, the Depositary shall fix the ADS Record Date in respect of such meeting or solicitation of consent or proxy in accordance with Section 4.9. The Depositary shall, if requested by the Company in writing in a timely manner (the Depositary having no obligation to take any further action if the request shall not have been received by the Depositary at least forty-five (45) days prior to the date of such vote or meeting), at the Company’s expense and provided no U.S. legal prohibitions exist, distribute to Holders as of the ADS Record Date: (a) such notice of meeting or solicitation of consent or proxy, (b) a statement that the Holders at the close of business on the ADS Record Date will be entitled, subject to any applicable law, the provisions of the Deposit Agreement, the Articles of Incorporation of the Company and the provisions of or governing the Deposited Securities (which provisions, if any, shall be summarized in pertinent part by the Company), to instruct the Depositary as to the exercise of the voting rights, if any, pertaining to the Deposited Securities represented by such Holder’s ADSs, and (c) a brief statement as to the manner in which such voting instructions may be given.
儘管《存託協議》或任何美國存託憑證有任何規定,但在法律或法規或美國存託憑證所在證券交易所的要求不禁止的範圍內,託管人可以向持有人分發通知,説明如何檢索此類材料,或應 要求接收此類材料,以代替分發與託管證券持有人的任何會議或徵求同意或委託書有關的材料。例如:,通過參考包含用於檢索的材料的網站或用於請求材料副本的聯繫人)。
僅可針對代表整數個已存證券的多個美國存託憑證發出投票指令。在美國存託憑證記錄日,及時收到美國存託憑證持有人 以存託人規定的方式發出的投票指示後,存託人應在可行的範圍內, 在適用法律允許的範圍內,根據存託協議、公司章程和 存託證券的條款,努力投票,或促使存託人投票,根據該等投票指示,由該等持有人的存託證券(親自或由代理人) 。
由美國存託證券代表的存託證券,如果存託人沒有收到持有人及時的表決指示,則不得進行表決(除非 另有規定)。在任何情況下,存管人或託管人均不得行使投票權,且 存管人或託管人均不得投票、試圖行使投票權或以任何方式使用( )以確定法定人數或其他方式)由美國存託證券(ADS)代表的存管證券,除非根據並按照及時收到的持有人的表決指令或本協議另有規定。如果在存管機構為此目的設立的日期或之前,存管機構未收到 持有人的指示,則該持有人應被視為且 存管機構應認為該持有人已指示存管機構向本公司指定的人士給予全權委託, 以投票所存證券;但存管人不得就 公司通知存管人(i)公司不希望給予該等委託書的任何待表決事項給予全權委託書, (ii)美國存託證券持有人或受益人存在重大反對意見]或(iii)存管證券持有人的權利可能受到不利影響。如果存管人及時收到持有人的表決指令,而該指令未指明 存管人對該持有人的美國存託憑證所代表的存管證券進行表決的方式,則存管人將認為該持有人(除非在分發給持有人的通知中另有説明)已指示存管人投票贊成該等表決指令中規定的項目。
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儘管本協議另有規定,如本公司提出書面要求,託管人應代表所有已交存證券(無論截至美國存托股份記錄日期是否已收到持有人關於該等已交存證券的表決指示),以在股東大會上確定法定人數為唯一目的。
儘管《存託協議》或任何美國存託憑證中有任何其他規定,如果採取此類行動將違反美國法律,則託管人沒有任何義務對存託證券持有人的任何會議或徵求同意或委託書採取任何行動。公司 同意採取任何合理必要的行動,使持有人和實益所有人能夠行使託管證券應享有的投票權,並向託管機構提交一份美國律師的意見,以解決在託管機構提出要求時應採取的任何行動。
不能保證 一般持有人或任何特別持有人將收到上述通知,並有足夠的時間使持有人能夠 及時向保存人返回表決指示。
Section 4.11 Changes Affecting Deposited Securities. Upon any change in nominal or par value, split-up, cancellation, consolidation or any other reclassification of Deposited Securities, or upon any recapitalization, reorganization, merger, consolidation or sale of assets affecting the Company or to which it is a party, any property which shall be received by the Depositary or the Custodian in exchange for, or in conversion of, or replacement of, or otherwise in respect of, such Deposited Securities shall, to the extent permitted by law, be treated as new Deposited Property under the Deposit Agreement, and the ADSs shall, subject to the provisions of the Deposit Agreement, any ADR(s) evidencing such ADSs and applicable law, represent the right to receive such additional or replacement Deposited Property. In giving effect to such change, split-up, cancellation, consolidation or other reclassification of Deposited Securities, recapitalization, reorganization, merger, consolidation or sale of assets, the Depositary may, with the Company’s approval, and shall, if the Company shall so request, subject to the terms of the Deposit Agreement (including, without limitation, (a) the applicable fees and charges of, and expenses incurred by, the Depositary, and (b) taxes) and receipt of an opinion of counsel to the Company satisfactory to the Depositary that such actions are not in violation of any applicable laws or regulations, (i) issue and deliver additional ADSs as in the case of a stock dividend on the Shares, (ii) amend the Deposit Agreement and the applicable ADRs, (iii) amend the applicable Registration Statement(s) on Form F-6 as filed with the Commission in respect of the ADSs, (iv) call for the surrender of outstanding ADRs to be exchanged for new ADRs, and (v) take such other actions as are appropriate to reflect the transaction with respect to the ADSs. The Company agrees to, jointly with the Depositary, amend the Registration Statement on Form F-6 as filed with the Commission to permit the issuance of such new form of ADRs. Notwithstanding the foregoing, in the event that any Deposited Property so received may not be lawfully distributed to some or all Holders, the Depositary may, with the Company’s approval, and shall, if the Company requests, subject to receipt of an opinion of Company’s counsel satisfactory to the Depositary that such action is not in violation of any applicable laws or regulations, sell such Deposited Property at public or private sale, at such place or places and upon such terms as it may deem proper and may allocate the net proceeds of such sales (net of (a) fees and charges of, and expenses incurred by, the Depositary and (b) taxes) for the account of the Holders otherwise entitled to such Deposited Property upon an averaged or other practicable basis without regard to any distinctions among such Holders and distribute the net proceeds so allocated to the extent practicable as in the case of a distribution received in cash pursuant to Section 4.1. The Depositary shall not be responsible for (i) any failure to determine that it may be lawful or practicable to make such Deposited Property available to Holders in general or to any Holder in particular, (ii) any foreign exchange exposure or loss incurred in connection with such sale, or (iii) any liability to the purchaser of such Deposited Property.
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4.12節可用信息 。本公司須遵守《交易法》的定期報告要求,因此必須向委員會提交或提交某些報告。這些報告可從委員會的網站(www.sec.gov) 檢索,並可在委員會維護的公共參考設施中查閲和複製(截至《存款協議》之日),地址為華盛頓特區20549,東北F街100號。
第4.13節報告。 託管人應在其主要辦事處向持有人提供從公司收到的任何報告和通信,包括任何委託書和徵集材料,這些報告和通信既有(A)託管人、託管人或其中之一的代名人作為託管財產持有人收到的,也有公司向此類託管財產持有人普遍提供的。 託管人還應在公司根據第 5.6節提供的情況下,向持有人提供或提供此類報告的副本。
第4.14節持有人名單。經公司書面要求,存管人應向其提供截至最近日期的所有持有人的 名稱、地址和持有美國存託憑證的清單。
第4.15節税收。 託管人將並將指示託管人將公司或其代理人可能合理要求的其記錄中的信息轉發給公司或其代理人,以使公司或其代理人能夠向政府當局或 機構提交必要的納税報告。託管人、託管人或本公司及其代理人可提交必要的報告,以根據適用的税收條約或法律為持有人和受益所有人減少或免除股息和存款財產其他分配的適用 税。根據本公司的指示並在可行的範圍內,託管人或託管人將根據適用的税務條約或法律,採取合理的行政行動,以獲得退税、減少股息及其他利益的來源扣繳(br}有關股息及其他分配的適用税務條約或法律)。作為獲得此類福利的條件,美國存託憑證的持有人和實益所有人可能被要求不時並及時提交關於納税人身份、住所和實益所有權的證明(視情況而定),簽署該等證書,並作出託管或託管人可能認為必要或適當的陳述和擔保,或提供任何其他信息或文件,以履行託管或託管人根據適用法律承擔的義務。如果任何持有人或實益所有人未能提供該等資料,或該等資料未能及時送達有關税務機關,使任何持有人或實益擁有人能夠獲得任何税務待遇的利益,保管人及本公司對任何人士概無義務或責任。持有人和受益所有人應賠償託管人、本公司、託管人及其任何董事、僱員、代理人和關聯公司,使其免受任何政府當局就退税、附加税、罰款或因退税、降低源頭扣繳率或獲得其他税收優惠而產生的任何税收、附加税、罰款或利息的索賠,並使他們每個人都不受損害。
如果公司(或其任何代理人)因税收或政府收費而從任何分配中扣留任何金額,或就此類分配 支付任何其他税款(例如:、印花税、資本利得税或其他類似税項),公司應(並應促使該代理人) 迅速向保存人匯款有關該等税項或政府費用的資料,以及(如有要求)税務 收據(或向適用政府當局付款的其他證明),在每種情況下,均採用保存人滿意的格式。 在美國法律要求的範圍內,存管人應向持有人報告其或託管人預扣的任何税款,如果該等信息 由公司提供,則應報告公司預扣的任何税款。除非公司向存管人或託管人(如適用)提供證據,證明公司(或其代理人)已匯出任何預扣税款或 公司已繳付税款,否則不應要求存管人和託管人向持有人提供證據。對於持有人或受益所有人未能根據對持有人或受益所有人的所得税負債支付的 非美國税款獲得信貸收益,存管人和託管人均不承擔任何責任。
存管人沒有 義務向持有人和受益所有人提供有關公司税務狀況的任何信息。對於持有人和受益所有人因持有人對 ADS的所有權而可能產生的任何税務後果,存管人 概不承擔任何責任,包括但不限於,公司產生的税務後果(或其任何子公司)被視為"被動 外國投資公司"(在每一種情況下,如《美國國內税收法典》及其頒佈的法規所定義)或 其他。
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第五條託管人、託管人和公司
5.1書記官長維護辦公室和轉移賬簿。直至存託協議按照其條款終止為止,註冊處處長 應在紐約市曼哈頓區維持一個辦事處及設施,以供發行及交付美國存託憑證、 接受交出美國存托股份(S)以提取存放證券、登記美國存托股份(S)的發行、註銷、轉讓、合併及分拆,以及(如適用)副署美國存託憑證,以證明已發行、轉讓、合併或分拆的美國存託憑證,每宗個案均須按照存託協議的規定辦理。
註冊處處長鬚備存登記美國存託憑證的簿冊 ,並於任何合理時間開放予本公司及該等美國存託憑證持有人查閲,但據註冊處處長所知,該等查閲不得為與該等美國存託憑證持有人就本公司業務以外的業務或宗旨或與存款協議或美國存託憑證有關的事宜以外的事宜而與該等美國存託憑證持有人進行溝通。
註冊處處長可在任何時間或不時關閉有關美國存託憑證的轉讓賬簿,或在符合第7.8(A)條規定的情況下,註冊處處長在履行本協議項下的職責時,或在本公司提出合理書面要求的情況下,真誠地認為必要或合宜的情況下關閉有關美國存託憑證的轉讓賬簿。
如果任何美國存託憑證在 一個或多個證券交易所或自動報價系統上市,則存託人應擔任登記官或指定一名登記官 或一名或多名共同登記官,登記美國存託憑證的發行、註銷、轉讓、合併和拆分,並在適用的情況下, 副署證明美國存託憑證已發行、轉讓、合併或拆分,根據此類交易所 或系統的任何要求。該等登記員或共同登記員可被免職,並由保存人指定一名或多名替代人員。
Section 5.2 Exoneration. Notwithstanding anything contained in the Deposit Agreement or any ADR, neither the Depositary nor the Company shall be obligated to do or perform any act or thing which is inconsistent with the provisions of the Deposit Agreement or incur any liability (to the extent not limited by Section 7.8(b)) (i) if the Depositary, the Custodian, the Company or their respective agents shall be prevented or forbidden from, hindered or delayed in, doing or performing any act or thing required or contemplated by the terms of the Deposit Agreement, by reason of any provision of any present or future law or regulation of the United States, Japan or any other country, or of any other governmental authority or regulatory authority or stock exchange, or on account of potential criminal or civil penalties or restraint, or by reason of any provision, present or future, of the Articles of Incorporation of the Company or any provision of or governing any Deposited Securities, or by reason of any act of God or other event or circumstance beyond its control (including, without limitation, fire, flood, earthquake, tornado, hurricane, tsunami, explosion, or other natural disaster, nationalization, expropriation, currency restriction, work stoppage, strikes, civil unrest, act of war (whether declared or not) or terrorism, revolution, rebellion, embargo, computer failure, failure of public infrastructure (including communication or utility failure), failure of common carriers, nuclear, cyber or biochemical incident, any pandemic, epidemic or other prevalent disease or illness with an actual or probable threat to human life, any quarantine order or travel restriction imposed by a governmental authority or other competent public health authority, or the failure or unavailability of the United States Federal Reserve Bank (or other central banking system) or DTC (or other clearing system)), (ii) by reason of any exercise of, or failure to exercise, any discretion provided for in the Deposit Agreement or in the Articles of Incorporation of the Company or provisions of or governing Deposited Securities, (iii) for any action or inaction in reliance upon the advice of or information from legal counsel, accountants, any person presenting Shares for deposit, any Holder, any Beneficial Owner or authorized representative thereof, or any other person believed by it in good faith to be competent to give such advice or information, (iv) for the inability by a Holder or Beneficial Owner to benefit from any distribution, offering, right or other benefit which is made available to holders of Deposited Securities but is not, under the terms of the Deposit Agreement, made available to Holders of ADSs, (v) for any action or inaction of any clearing or settlement system (and any participant thereof) for the Deposited Property or the ADSs, or (vi) for any consequential or punitive damages (including lost profits) for any breach of the terms of the Deposit Agreement.
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託管人、其控制人、其代理人、任何託管人和本公司、其控制人和代理人可依賴並保護其相信真實且已由適當的一方或 方簽署或提交的任何書面通知、請求或其他文件。
第5.3節《護理標準》。本公司及託管銀行對任何持有人(S)或實益擁有人(S)概不承擔任何責任,亦不承擔任何存款協議或任何美國存託憑證項下的任何責任,除非本公司及託管銀行同意履行其於存款協議或適用的美國存託憑證內明確載明的責任 ,且無疏忽或惡意。
在不限制上述規定的情況下,託管人、公司或其各自的任何控制人或代理人均無義務就其認為可能涉及費用或責任的任何存放財產或美國存託憑證的任何訴訟、訴訟或其他程序出庭、起訴或抗辯。 除非保管人就所有費用(包括律師費和律師費)作出令其滿意的賠償,並按要求定期提供法律責任(保管人不承擔任何關於該等程序的義務)。託管人只對託管人負責)。
The Depositary and its agents shall not be liable for any failure to carry out any instructions to vote any of the Deposited Securities, or for the manner in which any vote is cast or the effect of any vote, provided that any such action or omission is in good faith and without negligence and in accordance with the terms of the Deposit Agreement. The Depositary shall not incur any liability for any failure to accurately determine that any distribution or action may be lawful or reasonably practicable, for the content of any information submitted to it by the Company for distribution to the Holders or for any inaccuracy of any translation thereof, for any investment risk associated with acquiring an interest in the Deposited Property, for the validity or worth of the Deposited Property, for the value of any Deposited Property or any distribution thereon, for any interest on Deposited Property, for any financial transaction entered into by any person in respect of the ADSs or any Deposited Property, for any tax consequences that may result from the ownership of, or any transaction involving, ADSs or Deposited Property, for the credit-worthiness of any third party, for allowing any rights to lapse upon the terms of the Deposit Agreement, for the failure or timeliness of any notice from the Company, or for any action of or failure to act by, or any information provided or not provided by, DTC or any DTC Participant, or for any FEFTA Pre-Notification filing or for any action (or refusal to act) by any ministry or regulatory authority in respect thereof.
託管人對繼任託管人的任何作為或不作為不負責任,無論是與託管人以前的作為或不作為有關的,還是與託管人撤職或辭職後完全產生的任何事項有關的,但條件是託管人在履行其作為託管人的職責時不得有疏忽或惡意。
託管人對前任託管人的任何作為或不作為不負責任,無論是與託管人的作為或不作為有關,還是與在指定託管人之前或在託管人撤職或辭職之後發生的任何事項有關, 條件是託管人在擔任託管人期間履行其義務時不得有疏忽或惡意。
第5.4節辭職和撤換保管人;指定繼任者保管人。託管銀行可隨時向本公司遞交書面辭職通知,辭去託管銀行的職務,辭職將於(I)向本公司交付後第90天生效(據此託管銀行有權採取第6.2條所述的行動),或(Ii)本公司任命繼任託管銀行並接受下文規定的委任,兩者以較早者為準。
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本公司可隨時 發出書面罷免通知,罷免應於(i)向保存人交付 後第120天(以較遲者為準)生效(保存人應有權採取第6.2節所述的行動),或(ii)當本公司委任繼任保管人並接受下文規定的該項委任時。
In case at any time the Depositary acting hereunder shall resign or be removed, the Company shall use its best efforts to appoint a successor depositary, which shall be a bank or trust company having an office in the Borough of Manhattan, the City of New York. Every successor depositary shall be required by the Company to execute and deliver to its predecessor and to the Company an instrument in writing accepting its appointment hereunder, and thereupon such successor depositary, without any further act or deed (except as required by applicable law), shall become fully vested with all the rights, powers, duties and obligations of its predecessor (other than as contemplated in Sections 5.8 and 5.9). The predecessor depositary, upon payment of all sums due it and on the written request of the Company, shall, (i) execute and deliver an instrument transferring to such successor all rights and powers of such predecessor hereunder (other than as contemplated in Sections 5.8 and 5.9), (ii) duly assign, transfer and deliver all of the Depositary’s right, title and interest to the Deposited Property to such successor, and (iii) deliver to such successor a list of the Holders of all outstanding ADSs and such other information relating to ADSs and Holders thereof as the successor may reasonably request. Any such successor depositary shall promptly provide notice of its appointment to such Holders.
託管人可以合併或合併的任何實體應是託管人的繼承人,而無需簽署或提交任何文件 或任何進一步的行為。
Section 5.5 The Custodian. The Depositary has initially appointed Citibank, N.A., Tokyo Branch, as Custodian for the purpose of the Deposit Agreement. The Custodian or its successors in acting hereunder shall be authorized to act as custodian in Japan and shall be subject at all times and in all respects to the direction of the Depositary for the Deposited Property for which the Custodian acts as custodian and shall be responsible solely to it. If any Custodian resigns or is discharged from its duties hereunder with respect to any Deposited Property and no other Custodian has previously been appointed hereunder, the Depositary shall promptly appoint a substitute custodian. The Depositary shall require such resigning or discharged Custodian to Deliver, or cause the Delivery of, the Deposited Property held by it, together with all such records maintained by it as Custodian with respect to such Deposited Property as the Depositary may request, to the Custodian designated by the Depositary. Whenever the Depositary determines, in its discretion, that it is appropriate to do so, it may appoint an additional custodian with respect to any Deposited Property, or discharge the Custodian with respect to any Deposited Property and appoint a substitute custodian, which shall thereafter be Custodian hereunder with respect to the Deposited Property. Immediately upon any such change, the Depositary shall give notice thereof in writing to all Holders of ADSs, each other Custodian and the Company.
花旗銀行可在任何時候 根據存款協議作為存款財產的保管人,在這種情況下,任何提及保管人的內容應指花旗銀行 根據存款協議僅作為保管人的身份。儘管存管協議或 任何ADR有任何相反的規定,存管人沒有義務向公司、任何ADS持有人或任何其他託管人 發出通知,説明其根據存管協議作為託管人。
在指定任何繼任託管人後,除非託管人另有指示,否則根據本規定行事的任何託管人應繼續擔任已交存財產的託管人,不再採取任何行動或書面形式,並應服從繼任託管人的指示。然而,在任何託管人的書面要求下,如此委任的託管人應籤立並向該託管人交付一切適當的文書 ,以賦予該託管人完全和完全的權力和授權,以按照該託管人的指示行事。
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第5.6節通知 和報告。在本公司以出版物或其他方式發出關於股份或其他託管證券持有人 的任何會議、或該等持有人的任何續會、或該等持有人在會議上採取的任何行動的通知的首個日期或之前,或就任何現金或其他分配採取任何行動,或就 存放證券的任何權利的要約,本公司應向存管人和託管人發送一份有關通知的副本,其格式為英文 ,但其他格式為股份或其他存管證券持有人提供或將提供的格式。公司還應向 保管人和保存人提供一份本公司公司章程細則 中可能與該會議通知有關或相關或在會議上進行表決的任何適用條款或擬議條款的英文摘要。
託管人應應本公司的要求並自費安排向所有持有人提供副本,或按照與股份或其他已交存證券的持有人類似的基礎,或根據本公司建議託管人的其他基礎或任何適用法律可能要求的其他基礎,向所有持有人提供通知、報告和其他通信。本公司已向託管人及託管人交付本公司公司章程細則副本一份,連同本公司就該等股份發行的或管限該等股份的條文及任何其他存放證券,並在 對該等股份作出任何修訂或更改時,立即向託管人及託管人交付該等修訂或更改的副本一份。保管人可在《保證金協議》的所有目的中依賴該副本。
託管機構將在託管機構的主要辦公室、託管機構的辦公室和任何其他指定的轉讓辦公室提供由公司發佈並交付給託管機構的美國存託憑證持有人供其查閲的任何此類通知、報告或通信的副本,費用由公司承擔。
第5.7節發行額外股份、美國存託憑證等。本公司同意,如果本公司或其任何聯屬公司建議(I)發行、出售或分配額外股份,(Ii)提供認購股份或其他繳存證券的權利,(Iii)發行或承擔可轉換為股份或可交換的證券,(Iv)發行認購可轉換為或可交換為股份的證券的權利,(V)派發股息或現金或股份的選擇性股息,(Vi)贖回繳存證券,(br}(Vii)託管證券持有人會議,或徵求同意或委託書,涉及證券的任何重新分類,資產的合併或合併或轉讓,(Viii)影響託管證券的任何假設、重新分類、資本重組、重組、合併或出售資產,或(Ix)股票以外的證券的分配,它將獲得美國的法律諮詢意見,並採取所有必要步驟,以確保擬議交易適用於持有人和受益所有人不違反證券法的登記條款, 或任何其他適用法律(包括但不限於1940年修訂的《投資公司法》、《交易法》和美國各州的證券法)。為支持上述規定,公司將向保管人提供(A)美國律師的書面意見(令保管人合理滿意),説明此類交易(1)是否需要《證券法》下的登記聲明才能生效,或(2)豁免《證券法》的登記要求,以及(B)日本律師的意見,聲明(1)向持有人和受益所有人提供交易不違反日本法律或法規(包括但不限於FEFTA),以及(2)已在日本獲得所有必要的監管同意和批准(包括但不限於根據FEFTA獲得的任何同意和批准)。 如果需要提交註冊聲明,託管機構沒有任何義務繼續進行交易,除非 它已收到令其合理滿意的證據,證明該註冊聲明已被宣佈生效。如果在律師的建議下,本公司確定一項交易需要根據證券法登記,本公司將 (I)在必要的範圍內登記該交易,(Ii)更改交易條款以避免證券法的登記要求 或(Iii)指示託管人在每種情況下采取存款協議中預期的具體措施, 以防止該交易違反證券法的登記要求。本公司同意託管人的意見,即本公司或其任何關聯公司在任何時間均不會(I)在本公司或任何該等關聯公司先前發行及重新收購的股份或其他存放證券的首次發行或出售時存放任何股份或其他存放證券,或(Ii)發行額外股份、認購該等股份的權利、可轉換為或可交換為股份的證券或認購該等證券或分銷股份以外的證券的權利,除非該等交易及在該等交易中可發行的證券不違反證券法的登記規定,或任何其他適用法律(包括但不限於1940年修訂的《投資公司法》、《交易法》和美國各州的證券法)。
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儘管存款協議另有規定 ,存款協議的任何規定均不得被視為本公司有義務就任何建議的交易提交任何登記 聲明。
第5.8節賠償。 託管機構同意賠償本公司及其董事、高級管理人員、員工、代理人和關聯公司,使其免受因託管機構的疏忽或惡意而根據本條款履行或遺漏的任何類型的直接損失、責任、税收、收費或支出(包括但不限於律師的合理費用和支出),並使其不受損害。
本公司同意賠償託管人、託管人及其各自的任何董事、高級職員、僱員、代理人和關聯公司,使他們中的每一個人不會因下列任何類型的直接損失、責任、税收、收費或支出(包括但不限於律師的合理費用和開支)而受到損害:(A)任何要約、發行、銷售、轉售、轉讓、存款或撤回美國存託憑證、美國存託憑證、股份或其他已存款證券,(B)或(C)本公司違反其在《存款協議》中的協議(包括但不限於FEFTA- 相關陳述、協議和承諾),或(D)因履行或遺漏的行為,包括但不限於,託管人代表本公司就《存款協議》、美國存託憑證、美國存託憑證、股份或任何存款財產提供有關本公司的資料,在任何此等情況下(I)由託管人、託管人或其各自的任何董事, 高級管理人員、員工、代理和關聯公司,除非該等損失、責任、税款、費用或支出是由於其中任何一人的疏忽或惡意,或(Ii)本公司或其任何董事、高級管理人員、員工、代理和關聯公司造成的。
本節規定的義務在《存款協議》終止以及本協議任何一方的繼承或替代後繼續有效。
任何在本協議項下尋求賠償的人(“受彌償人”)應在受彌償人知悉任何可獲彌償的訴訟或索償開始後,立即通知被要求彌償的人(“受彌償人”)任何可獲彌償的訴訟或索償的開始 (但不作出上述通知並不影響該受彌償人尋求彌償的權利,但如獲彌償人因此而受到重大損害,則不在此限),並須真誠地與受彌償人協商如何就該等訴訟或索償進行抗辯,而該等訴訟或索償可能會引致本協議下的彌償。在這種情況下,這一辯護應是合理的。未經補償人同意,任何受補償人不得妥協或解決可能導致本合同項下賠償的任何訴訟或索賠 ,而該同意不得被無理拒絕。
第5.9節美國存托股份收費 和收費。本公司、持有人、實益擁有人、因美國存託憑證的發行和註銷而存放股份或提取已交存證券的人,以及在發行時收到美國存託憑證或其美國存託憑證被註銷的人,應 被要求支付託管人的費用和相關費用(其中一些可能是累積的),這些費用和相關費用(其中一些可能是累積的)在本文件附件作為附件B的費目表中分別確定為應付 所有應支付的美國存托股份費用和收費可從分派中扣除,或必須 匯給託管人,或其指定人可隨時、不時地:由託管人與本公司協議更改,但就美國存托股份由持有人及實益擁有人支付的費用及收費而言,只能以第6.1節所述的方式更改。託管銀行應應要求免費向任何人提供其最新美國存托股份收費表的副本。
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美國存托股份就(I) 發行美國存託憑證及(Ii)註銷美國存託憑證而收取的費用將由託管銀行代其發行美國存託憑證的人(如屬美國存托股份發行)及被註銷美國存託憑證的人(如屬美國存托股份註銷)支付。如美國存託憑證由存託憑證發行或經由直接受託憑證交予託管銀行,美國存托股份的發行及註銷費用將由直接受託憑證參與人(S)代表存託憑證持有人(S)收到美國存託憑證的存託憑證參與者(S)或持有被註銷美國存託憑證的直接受託憑證參與者(S)(視情況而定)支付,並將由直接受託憑證參與人(S)按照直接受託憑證參與者(S)當時有效的程序及慣例,向適用的 實益所有人(S)的賬户(S)收取。美國存托股份與分發有關的費用和手續費 自託管機構建立的適用美國存托股份記錄日期起由持有人支付。 如果是現金分發,適用的美國存托股份費用和收費金額將從所分發的資金中扣除。 如果是(I)現金以外的分發和(Ii)美國存托股份服務費,將向託管機構建立的美國存托股份記錄日期為止的適用持有人開出美國存托股份費用和收費的發票,此類美國存托股份費用可從向持有人進行的分配中扣除。對於通過DTC持有的美國存託憑證,非現金分發的美國存托股份費用和手續費以及美國存托股份服務費可以從通過DTC進行的分發中扣除 ,並可以按照DTC不時規定的程序和做法向DTC參與者收取 ,DTC參與者又向其持有ADS的受益所有人收取此類美國存托股份費用和手續費 。在(I)登記美國存托股份轉讓的情況下,美國存托股份轉讓費將由轉讓美國存託憑證的美國存托股份持有人或美國存託憑證受讓人支付,以及(Ii)一個系列的美國存託憑證轉換為另一個系列的美國存託憑證 (這可能涉及註銷、發行和轉讓美國存託憑證,以及將美國存託憑證從一個系列轉換為另一個系列),適用的美國存托股份發行、註銷、轉讓和轉換費將由美國存託憑證持有人 或轉換後的美國存託憑證收件人支付。
託管人可根據 公司和託管人不時商定的條款和條件,通過提供就美國存託憑證計劃收取的部分美國存托股份費用或其他方式,向公司償還公司因根據存款協議設立的美國存託憑證計劃而產生的某些費用。公司應向託管人支付託管人和公司可能不時商定的費用,並向託管人償還此類自付費用。支付該等費用、收費和報銷的責任可由本公司與保管人之間的協議不時更改。除非另有約定, 託管銀行應每三個月向本公司提交一次有關該等費用、收費和補償的報表。託管人的費用和費用由託管人獨家承擔。本公司同意補償託管人根據第5.11節所述條款作出任何FEFTA要求的通知的費用,包括律師的費用和費用。
存款協議終止後,持有人和實益所有人支付美國存托股份手續費的義務將繼續有效。對於任何託管人,當第5.4節所述託管人 辭職或撤職時,收取美國存托股份費用的權利應延伸至在該辭職或撤職生效之前發生的 美國存托股份費用和收費。
第5.10節限制證券持有人。本公司同意以書面形式通知據本公司所知持有受限證券的每一位人士或實體該等受限證券沒有資格存放(除非在第2.14節所述的情況下除外),並在實際可行的範圍內,要求每名此等人士以書面聲明該等人士將不會 存放本文所述的受限證券(第2.14節所述的情況除外)。
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第5.11節與FEFTA相關的規定。
(a) | 當前FEFTA狀態。本公司特此聲明並向保管人保證:(I)本公司、(Ii)其根據日本法律成立或主要營業地點在日本的子公司、以及(Iii)本公司及其子公司共同持有50%或以上投票權的任何其他 實體(統稱為“FEFTA涵蓋實體”)均未開展或計劃開展任何FEFTA指定業務,這將要求 外國投資者在“外來直接投資等”之前向財政部長和任何對公司的任何業務有管轄權的部長提交通知。台愛雞腿肉頭)或“特定收購(Tokutei Shutoku)“,均按FEFTA第27條第1款或FEFTA第28條第1款與本公司有關(各為”FEFTA預告“)。 |
(b) | 未來FEFTA地位.如果 (i)本公司或任何其他FEFTA涵蓋實體有意從事或通過業務轉讓、合併、分拆 或其他方式收購任何FEFTA指定業務,或(ii)任何FEFTA涵蓋的實體打算採取任何其他行動,將要求 (x)保存人提交FEFTA前,在接受股票存入之前的通知,或(y) 是外國投資者的任何持有人或受益所有人在註銷ADS後撤回股票之前提交FEFTA預通知。除非 或直到相關FEFTA預通知已提交給財政部長和對公司任何 業務有管轄權的任何部長,且符合FEFTA法定等待期(定義如下),否則公司不得 採取,並應促使每個其他FEFTA涵蓋實體不採取前一句要求通知的任何行動。 |
(c) | 股東大會.儘管存管協議中有任何相反規定, 如果公司打算向任何股東會議提出任何議程項目,需要存管人提交FEFTA預通知, 公司同意立即通知存管人(這可能包括在其公司章程中添加任何FEFTA指定業務 到其業務目的,及委任一名與存託人有密切關係的人士為本公司董事 )。儘管存款協議中有任何相反規定,公司不得采取任何需要前句通知的行動 ,並且保存人不得根據第4.10條採取任何行動,除非或直到相關 FEFTA預通知已提交給財政部長和對公司任何業務有管轄權的任何部長, 和FEFTA法定等待期的滿意度(定義如下)。 |
(d) | FEFTA報告.
|
i. | 執行報告(FEFTA指定業務).已通知保存人,根據自保存協議
之日起生效的FEFTA,保存人必須向適用的日本政府當局報告(“FEFTA執行報告”),如果(x)公司已通知保管人公司
和/或FEFTA涵蓋的其他實體從事任何FEFTA指定業務,及(y)存管人已作出FEFTA事先通知
,並在FEFTA法定等待期內令人滿意的批准後接受股份。保存人同意公司
在FEFTA要求下提交此類FEFTA執行報告。 |
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二、 | 10% 投票/所有權報告(FEFTA非指定業務).已通知保存人, 根據自保存協議之日起生效的FEFTA,其必須向適用的日本政府當局報告 (“FEFTA 10%投票/所有權報告”),如果本公司 和其他FEFTA涵蓋實體均未從事任何FEFTA指定業務,且其在本公司的投票權或所有權權益 連同密切關聯方的投票權或所有權權益,緊隨股份接納存管後為10%或以上。在 交存任何股份後,公司應通知交存人將構成本公司投票權或所有權 權益10%的股份數量。存管人同意公司提交FEFTA 10%投票/所有權報告,如果根據FEFTA要求這樣做 。 |
三、 | 撤回股份報告(FEFTA指定業務).已進一步通知保存人,根據自保存協議之日起生效的FEFTA
,必須向相關的日本政府當局報告(“FEFTA
股份撤回報告”)在交回美國存託憑證以註銷時交付存放股份的45天內
,如果(x)本公司已通知存託人,本公司及/或或其他FEFTA涵蓋實體從事任何FEFTA指定
業務,且(y)存管人已發出FEFTA預通知,並在FEFTA
法定等待期令人滿意後接受股份。存管人同意本公司在
FEFTA要求時提交此類FEFTA股份撤回報告。 |
(e) | FEFTA預先通知。 |
i. | 股票存款。託管人被告知,根據截至《存管協議》之日生效的FEFTA,(I)如果公司或其涵蓋的任何FEFTA實體確實從事任何FEFTA指定業務,託管人將被要求在接受任何股份存入之前向適用的日本政府當局提交FEFTA預告,以便獲得批准 ,(Ii)適用的 政府當局審查FEFTA預先通知的法定等待期為30天,但可加速或延長至最多5個月(“FEFTA法定等待期”),以及(Iii)在這種情況下,託管機構不能合法接受任何股票的存放,除非或直到FEFTA 法定等待期根據FEFTA到期,而適用的政府當局未發佈任何建議或命令要求或下令暫停或修改條款,按照FEFTA預先通知(“FEFTA法定等待期令人滿意的期滿”)的説明接受股份。因此,託管人同意,若本公司通知託管人本公司或其任何FEFTA涵蓋實體確實從事任何FEFTA指定業務,則託管人將不會接受根據《託管協議》條款存放的任何股份,除非及直至(X)託管人已向適用的日本政府當局提交《FEFTA預先通知》以供審批,及(Y)令人滿意的FEFTA法定等待期屆滿 。《存託協議》或任何美國存託憑證中的任何條款均不應在合同上要求託管人接受任何投資者的股份存入,或向任何擬存入股份的投資者提交FEFTA預先通知。 |
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二、 | 股票回籠。保管人被告知,根據截至《存款協議》之日生效的FEFTA,如果本公司或其任何FEFTA涵蓋的實體確實從事FEFTA指定的某些業務 受限於“特定收購(德亭)",任何預期在向存管人交出美國存託憑證以註銷時收到 股份交付的外國投資者,可能需要根據FEFTA向 適用的日本政府當局發出FEFTA通知,並等待FEFTA法定等待期的令人滿意的通知,在每種情況下, 在接受交付擬撤回的股份之前, 美國存託憑證(美國存託機構)擬撤回的股份。因此,存管人同意,如果公司已通知存管人, 公司或其任何FEFTA涵蓋實體確實從事某些FEFTA指定業務,受"特定收購 "(德亭)",存管人將不接受外國投資者或為外國投資者註銷美國存託憑證 以撤回股份,除非且直至其收到令人滿意的保證,即適用外國投資者已 發出任何所需的FEFTA通知,且FEFTA法定等待期已達到令人滿意的通知,在每種情況下, 關於擬撤回並交付給外國投資者的股份。 |
(f) | FEFTA合作。本公司應並應促使其任何其他FEFTA涵蓋實體 與保存人及其律師充分合作,以提交FEFTA事先通知、相關事後 報告或根據FEFTA要求的與股票存放有關的其他文件,包括應要求立即向保存人及其律師披露所有必要信息 。公司同意向存管人償還其費用,包括費用 和律師費用,用於與根據存管協議存在的ADR計劃中存放、存放或撤回的任何FEFTA相關備案,包括但不限於FEFTA預審、FEFTA執行 報告、FEFTA 10%投票/所有權報告,以及FEFTA股票退出報告。 |
第六條[br}修正和終止
Section 6.1 Amendment/Supplement. Subject to the terms and conditions of this Section 6.1 and applicable law, the ADRs outstanding at any time, the provisions of the Deposit Agreement and the form of ADR attached hereto and to be issued under the terms hereof may at any time and from time to time be amended or supplemented by written agreement between the Company and the Depositary in any respect which they may deem necessary or desirable without the prior written consent of the Holders or Beneficial Owners. Any amendment or supplement which shall impose or increase any fees or charges (other than charges in connection with foreign exchange control regulations, and taxes and other governmental charges, delivery and other such expenses), or which shall otherwise materially prejudice any substantial existing right of Holders or Beneficial Owners, shall not, however, become effective as to outstanding ADSs until the expiration of thirty (30) days after notice of such amendment or supplement shall have been given to the Holders of outstanding ADSs. Notice of any amendment to the Deposit Agreement or any ADR shall not need to describe in detail the specific amendments effectuated thereby, and failure to describe the specific amendments in any such notice shall not render such notice invalid, provided, however, that, in each such case, the notice given to the Holders identifies a means for Holders and Beneficial Owners to retrieve or receive the text of such amendment (例如:, upon retrieval from the Commission’s, the Depositary’s or the Company’s website or upon request from the Depositary). The parties hereto agree that any amendments or supplements which (i) are reasonably necessary (as agreed by the Company and the Depositary) in order for (a) the ADSs to be registered on Form F-6 under the Securities Act or (b) the ADSs to be settled solely in electronic book-entry form and (ii) do not in either such case impose or increase any fees or charges to be borne by Holders, shall be deemed not to materially prejudice any substantial existing rights of Holders or Beneficial Owners. Every Holder and Beneficial Owner at the time any amendment or supplement so becomes effective shall be deemed, by continuing to hold such ADSs, to consent and agree to such amendment or supplement and to be bound by the Deposit Agreement and the ADR, if applicable, as amended or supplemented thereby. In no event shall any amendment or supplement impair the right of the Holder to surrender such ADS and receive therefor the Deposited Securities represented thereby, except in order to comply with mandatory provisions of applicable law. Notwithstanding the foregoing, if any governmental body should adopt new laws, rules or regulations which would require an amendment of, or supplement to, the Deposit Agreement to ensure compliance therewith, the Company and the Depositary may amend or supplement the Deposit Agreement and any ADRs at any time in accordance with such changed laws, rules or regulations. Such amendment or supplement to the Deposit Agreement and any ADRs in such circumstances may become effective before a notice of such amendment or supplement is given to Holders or within any other period of time as required for compliance with such laws, rules or regulations.
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Section 6.2 Termination. The Depositary shall, at any time at the written direction of the Company, terminate the Deposit Agreement by distributing notice of such termination to the Holders of all ADSs then outstanding at least thirty (30) days prior to the date fixed in such notice for such termination. If (i) ninety (90) days shall have expired after the Depositary shall have delivered to the Company a written notice of its election to resign, or (ii) one hundred twenty (120) days shall have expired after the Company shall have delivered to the Depositary a written notice of the removal of the Depositary, and, in either case, a successor depositary shall not have been appointed and accepted its appointment as provided in Section 5.4 of the Deposit Agreement, the Depositary may terminate the Deposit Agreement by distributing notice of such termination to the Holders of all ADSs then outstanding at least thirty (30) days prior to the date fixed in such notice for such termination. The date so fixed for termination of the Deposit Agreement in any termination notice so distributed by the Depositary to the Holders of ADSs is referred to as the “Termination Date”. Until the Termination Date, the Depositary shall continue to perform all of its obligations under the Deposit Agreement, and the Holders and Beneficial Owners will be entitled to all of their rights under the Deposit Agreement.
如果任何美國存託憑證在終止日期後仍未結清 ,註冊處處長和託管銀行在終止日期後不再有義務履行《託管協議》項下的任何其他行為,但託管機構應在符合《託管協議》條款和條件的前提下,繼續(I)收取與託管證券有關的股息和其他分派,(Ii)出售與託管證券有關的託管財產,(Iii)交付託管證券,連同與此有關的任何股息或其他分配,以及出售任何其他存款財產的淨收益,以換取交出給託管人的美國存託憑證(在每種情況下,扣除或收取託管人的費用和費用,以及 所有適用於持有人和實益所有人賬户的税收或政府收費,每種情況下均按存款協議第5.9節規定的條款進行),及(Iv)根據適用法律,就其在《存款協議》下作為保管人的角色採取可能需要採取的行動。
在終止日期 日期後的任何時間,託管銀行可出售當時根據存款協議持有的存放財產,並在出售後將出售所得款項淨額連同其根據存款協議持有的任何其他現金 存入一個非獨立賬户, 無需承擔利息責任,以按比例惠及迄今尚未交出美國存託憑證的持有人。完成 出售後,託管銀行將被解除存款協議項下的所有義務,但以下情況除外:(I)説明該等淨收益 和其他現金(在每種情況下,扣除或計入托管銀行的費用和收費以及由此產生的開支,以及所有適用的税項或政府收費在持有人和實益所有人的賬户上,每種情況下均按照存款協議第5.9節所載的條款),以及(Ii)法律可能要求的與終止 存款協議有關的事項。終止日期後,本公司將被解除存款協議項下的所有義務,但根據存款協議第5.8、5.9和7.6節對託管人的義務除外。截至終止日,未清償美國存託憑證持有人及實益擁有人的 存託協議條款項下的責任將於終止日期後繼續存在,而 只有當其持有人根據 存託協議的條款將適用的美國存託憑證呈交託管人註銷時, 才會解除該等義務(除非存託協議另有明確規定)。
儘管存管協議或任何ADR中包含 的任何內容,關於存管協議的終止,存管人可獨立且 無需公司採取任何行動,向美國存託證券持有人提供撤回其存託證券 代表的存託證券的方法,並指示將該存託證券存入已建立的無擔保美國存托股票計劃 由存管人按照存管人認為合理適當的條款和條件進行,但在每種情況下, 無保薦美國存管股票計劃滿足《證券法》下的適用登記要求, 存管人收到適用税款、ADS費用和費用,以及償還因下列原因而產生的適用 費用,保存人。
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第七條雜項
第7.1節副本。 存款協議可簽署任意數量的副本,每份副本均應視為原件,所有副本 應共同構成同一份協議。保管人應保存保管協議的副本,並應 在營業時間內公開供任何持有人查閲。
Section 7.2 No Third-Party Beneficiaries/Acknowledgments. The Deposit Agreement is for the exclusive benefit of the parties hereto (and their successors) and shall not be deemed to give any legal or equitable right, remedy or claim whatsoever to any other person, except to the extent specifically set forth in the Deposit Agreement. Nothing in the Deposit Agreement shall be deemed to give rise to a partnership or joint venture among the parties nor establish a fiduciary or similar relationship among the parties. The parties hereto acknowledge and agree that (i) Citibank and its Affiliates may at any time have multiple banking relationships with the Company, the Holders, the Beneficial Owners, and their respective Affiliates, (ii) Citibank and its Affiliates may own and deal in any class of securities of the Company and its Affiliates and in ADSs, and may be engaged at any time in transactions in which parties adverse to the Company, the Holders, the Beneficial Owners or their respective Affiliates may have interests, (iii) the Depositary and its Affiliates may from time to time have in their possession non-public information about the Company, the Holders, the Beneficial Owners, and their respective Affiliates, (iv) nothing contained in the Deposit Agreement shall (a) preclude Citibank or any of its Affiliates from engaging in such transactions or establishing or maintaining such relationships, or (b) obligate Citibank or any of its Affiliates to disclose such information, transactions or relationships, or to account for any profit made or payment received in such transactions or relationships, (v) the Depositary shall not be deemed to have knowledge of any information any other division of Citibank or any of its Affiliates may have about the Company, the Holders, the Beneficial Owners, or any of their respective Affiliates, and (vi) the Company, the Depositary, the Custodian and their respective agents and controlling persons may be subject to the laws and regulations of jurisdictions other than the U.S. and Japan, and the authority of courts and regulatory authorities of such other jurisdictions, and, consequently, the requirements and the limitations of such other laws and regulations, and the decisions and orders of such other courts and regulatory authorities, may affect the rights and obligations of the parties to the Deposit Agreement.
第7.3節可分割性。 如果存款協議或美國存託憑證中包含的任何一項或多項條款在任何方面無效、非法或不可執行, 本協議或美國存託憑證中包含的其餘條款的有效性、合法性和可執行性不得因此受到任何影響、損害或幹擾。
第7.4節持有人 和受益所有人作為當事人;約束力。根據 發行的美國存託憑證的持有人和實益擁有人應不時成為存款協議的當事人,並應受本協議以及任何通過接受其 美國存託憑證或其中任何實益權益證明其 美國存託憑證的美國存託憑證的所有條款和條件約束。
第7.5節通知。 向公司發出的任何及所有通知,如果親自遞送或通過郵件、航空快遞 或電報、電傳或傳真發送,經親自遞送或通過郵件或航空快遞發送的信件確認,地址為:301, Aomi 2—chome 7—4 the SOHO,Koto—ku,Tokyo 135—0064 Japan,收件人:或本公司 向存管人書面指定的任何其他地址。
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任何及所有向託管機構發出的通知,如由專人交付或以郵寄、航空快遞或電報、電傳或傳真方式發送,或以專人交付或郵寄或航空快遞確認,地址為Citibank,N.A.,388 Greenwich Street,New York,New York 10013,U.S.A.,注意:存託收據部門,或由託管機構以書面形式指定的任何其他地址,則視為已妥為發出。
向任何持有人發出的任何及所有通知應被視為已正式發出:(A)如果是親自交付或通過郵件、電報、電傳或傳真發送的,則以信件確認的方式發送給該持有人,地址為寄存人賬簿上顯示的該持有人的地址,或者,如果該持有人已向寄存人提交了一份請求,要求將發給該持有人的通知郵寄到該請求中指定的其他地址,或(B)如持有人已根據《存款協議》條款指定該等通知方式為可接受的通知方式,則以電子訊息方式發送至持有人為此目的而指定的電子郵件地址。就存款協議的所有目的而言,向持有人發出的通知應視為向實益擁有人發出的通知。未通知持有人或通知持有人存在任何缺陷,不應影響向其他持有人或該等其他持有人持有的美國存託憑證的實益所有人發出的通知的充分性。根據《存款協議》的條款向DTC發出的任何通知(除非託管銀行另有規定)應構成向在其DTC 賬户中持有美國存託憑證的DTC參與者和該等美國存託憑證的實益所有人發出的通知。
以郵寄、航空速遞或電報、電傳或傳真方式發出的通知,在郵寄、預付郵資或 郵資預付郵資或投遞至航空速遞服務後,不論持有人實際收到通知或實際收到通知的時間 ,均視為有效。然而,託管人或公司可對其從任何持有人、託管人、託管人或公司收到的任何電報、電傳或傳真採取行動,儘管該等電報、電傳或傳真隨後不得以信函確認。
以電子信息的方式發送通知,應視為在發送者開始發送時生效(如發送者的記錄所示),即使預期的接收者在以後的日期檢索信息、未能檢索到該信息、或由於未能維護指定的電子郵件地址、未能指定替代的電子郵件地址或任何其他原因而未能收到該通知。
管轄法律和管轄權的第7.6節。《存款協議》、《美國存託憑證》和《美國存託憑證》應按照紐約州適用於在該州完全履行的合同所適用的紐約州法律進行解釋,並受紐約州法律管轄。即使存款協議有任何相反規定,任何ADR或紐約州法律、股份持有人及任何其他存款證券持有人的權利,以及本公司有關股份及其他存款證券持有人的義務及責任,應受日本法律(或(如適用)可能管轄存款證券的其他法律) 管轄。
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除第7.6節以下第 段所述外,本公司和託管機構同意,紐約市的聯邦或州法院 有權審理和裁決任何訴訟、訴訟或程序,並解決它們之間可能因《存款協議》而引起或與之相關的任何糾紛,為此,各自不可撤銷地服從該等法院的非排他性司法管轄權。本公司在此不可撤銷地指定、指定並授權目前位於紐約東42街122號,New York 18 Floor,NY 10168的Cogency Global Inc.(“代理商”)作為其授權代理人,代表本公司並代表其財產、資產和收入,以郵寄方式送達可能在 任何聯邦或州法院對本公司提起的訴訟、訴訟或訴訟中可能送達的任何和所有法律程序、傳票、通知和文件,如上一句或本節第7.6條下一段所述。如果代理人因任何原因不再以代理人的身份行事,公司同意 按照條款併為第7.6節的目的指定一名紐約的新代理人,託管人對此感到合理滿意。公司還不可撤銷地同意並同意在 針對公司的任何訴訟、訴訟或法律程序中的任何和所有法律程序、傳票、通知和文件,以郵寄方式將其副本送達代理人(無論該代理人的任命 是否因任何原因被證明無效或該代理人未能接受或確認該服務),並將副本 以掛號或掛號航空郵件郵寄至公司,郵資已付。公司同意,代理人未能向其發出有關該送達的任何通知,不應以任何方式損害或影響該送達的有效性或在任何訴訟或法律程序中作出的任何判決的有效性。
儘管有上述規定, 託管人和本公司無條件同意,在美國任何州或聯邦法院針對(A)本公司、(B) 託管人根據《存款協議》以託管人身份提起的任何訴訟、訴訟或法律程序,或(C)針對本公司和託管人雙方的訴訟、訴訟或法律程序,且託管人或本公司對因該訴訟、訴訟或法律程序的標的而產生的任何賠償或其他方面的任何索賠,然後,公司和託管機構可以在該訴訟、訴訟或訴訟待決的美國州或聯邦法院向對方提出此類索賠 ,為此,公司和託管機構不可撤銷地服從這些法院的非排他性司法管轄權。公司同意,按照前款規定的方式向代理人送達法律程序文件,即為本款所述針對其提起的任何訴訟、訴訟或訴訟的有效送達。
本公司在法律允許的最大範圍內,不可撤銷且 無條件放棄其現在或今後可能對按照第7.6節的規定在任何法院提起的任何訴訟、訴訟或法律程序提出的任何反對意見,並在此進一步不可撤銷且無條件地 放棄並同意不在任何該等法院就已在不方便的法院提起的任何該等訴訟、訴訟或法律程序提出抗辯或索賠 。
43
在法律允許的最大範圍內,公司不可撤銷且 無條件放棄任何法律訴訟、訴訟或法律程序、抵銷或反索賠、任何法院管轄範圍、法律程序送達、判決前或判決前的扣押、協助執行或判決的扣押、判決的執行、任何其他法律程序或程序給予任何救濟或執行判決的豁免權,並同意對其、其在任何司法管轄區的資產和收入進行此類救濟和強制執行。在每一種情況下,就存款協議所引起或與之相關的任何事項而言,指任何ADR或存款財產。
持有人和實益擁有人 理解且各自不可撤銷地同意,通過持有美國存托股份或其中的權益,任何針對本公司或託管銀行的訴訟、訴訟或法律程序,由於或基於存款協議、美國存託憑證、美國存託憑證或擬進行的交易而產生或基於 ,或由此或憑藉其所有權,只能在紐約市的州法院或聯邦法院提起,持有美國存托股份或其中的權益,將不可撤銷地放棄現在或以後可能對在、並在任何此類訴訟、訴訟或程序中不可撤銷地服從此類法院的專屬管轄權。 持有人和實益所有人同意,本款規定在這些持有人和實益所有人對美國存託憑證或其中的權益的所有權或其中的權益的 繼續有效。
在適用法律允許的最大範圍內,存款協議的每一方當事人(包括但不限於每一位持有人和實益所有人)在因存款協議、任何ADR和其中預期的任何交易(無論是基於合同、侵權行為、普通法 或其他)而對公司和/或託管人提起的任何法律程序中,不可撤銷地放棄由陪審團進行審判的任何和所有權利。
本條款第7.6節的規定在《存款協議》終止後繼續有效,不論全部或部分終止。
第7.7節轉讓。 除第5.4節的規定外,公司或託管人均不得轉讓《存款協議》。
第7.8節遵守美國證券法,且無免責聲明。
(A)儘管《保證金協議》有任何相反規定,本公司或保管人不會暫停提取或交付保證金,除非根據證券法不時修訂的形成F-6註冊聲明的一般指示第I.A.(1)條許可,否則本公司或保管人不會暫停提取或交付保證金。
(B)《存款協議》的每一方(包括但不限於每一位持有人和實益所有人)都承認並同意,《存款協議》或任何美國存託憑證的任何規定不應或應被視為免除《證券法》或《交易法》項下的任何責任,在每種情況下,均以適用的美國法律確定的範圍為限。
44
第7.9節日本法律參考文獻。存款協議所載的日本法律法規及本公司註冊章程條款的任何摘要均由本公司提供,僅為方便持有人、實益擁有人及受託保管人。雖然本公司相信該等摘要於按金協議日期是準確的,但(I)該等摘要為 摘要,因此可能不包括適用於持有人或實益擁有人的摘要材料的所有方面,及(Ii)此等 法律法規及本公司的公司章程細則可能於按金協議日期後更改。根據《存款協議》的條款,託管人和本公司均無義務更新任何此類摘要。
第7.10節標題和參考文獻。
(A)保證金協議。除另有明文規定外,《存託協議》中提及的所有證物、條款、章節、分節及其他分部均指《存託協議》的展品、條款、章節、分部及其他分部。 “本存託協議”、“此處”、“特此”、“下文”、 及類似含義的詞語指的是本公司、存託機構、美國存託憑證持有人及實益擁有人在相關時間有效的整體《存託協議》,而非任何特定的分部,除非明確限制。男性、女性和中性的代詞應解釋為包括任何其他性別,單數形式的單詞應解釋為包括複數和反之亦然除非文意另有所指外。包含《存款協議》各部分的標題僅為方便起見 在解釋《存款協議》中包含的語言時不應考慮這些標題。除法律或法規另有規定外,所指的“適用法律和條例”是指適用於公司、託管人、託管人、其代理人和控制 人、美國存託憑證、美國存託憑證或存款財產的法律和法規。
(B)美國存託憑證。 除非另有明確規定,任何美國存託憑證(S)中提及的段落、展品、文章、章節、分節和其他分節均指S的有關段落、展品、文章、章節、分節和其他分節。在任何ADR中使用的詞語 “收據”、“ADR”、“此處”、“此處”、“下文”、 以及類似含義的詞語指的是整個ADR和在相關時間有效的ADR,而不是指任何特定的 子部分,除非有明確限制。任何ADR中的男性、女性和中性代詞應解釋為包括任何其他性別,單數形式的詞語應解釋為包括複數和反之亦然除非上下文另有要求 。任何ADR中段落的標題僅為方便起見,在解釋ADR中包含的語言時不應考慮。所指的“適用法律和法規”應指適用於本公司、託管人、其代理人和控制人、美國存託憑證、美國存託憑證以及相關確定時間有效的存放財產的法律和法規,除非法律或法規另有規定。
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Hw ELECTRO CO. Ltd.和花旗銀行,N.A.已於上述第一年和第一年正式簽署存款協議,所有持有人和 受益所有人應在接受根據本協議條款發行的ADS後,或在獲得 其中的任何實益權益後成為本協議的一方。
深圳市威電子有限公司 | |||
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北卡羅來納州花旗銀行 | |||
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附件A
[ADR的格式]
數 | CUSIP號碼:_ |
_____________
美國存托股份(每份美國 存托股份代表接收一(1)股普通股的權利)
美國存託憑證
為
美國存托股份
代表
繳存普通股
的
深圳市威電子有限公司
(根據日本法律註冊成立)
[託管人已同意 在沒有FEFTA預先通知和FEFTA法定等待期滿意到期的情況下, 如果公司通知公司或其任何其他FEFTA涵蓋的實體正在從事FEFTA認可的業務,則不接受任何股票進行託管。 相應地,任何有意根據這些緊急情況存放股份的人必須在 有意存放股份之前將該意向通知存放人,同時銘記適用的FEFTA等待期以及可能與 FEFTA法定等待期的滿意到期相關的延遲。保管人沒有義務接受股票保管或 提交任何FEFTA預先通知。根據存款協議或任何ADR,存款人沒有接受任何投資人的股票存款或提交任何FEFTA預先通知的義務。]
A-1
花旗銀行,N.A.,根據美利堅合眾國法律組織和存在的全國性 銀行協會,作為託管人(“存託人”), 特此證明_(以下簡稱“ADS”)代表H ELECTRO CO.的存置普通股,包括收取該等普通股(“股份”)的權利的證據。 有限公司,根據日本法律組建的股份有限公司(“公司”)。截至 本ADR發行之日,每份美國存託憑證均代表接收根據存託協議(定義見下文)存放於託管人的一股股份的權利,託管人在本ADR發行之日為花旗銀行,東京分公司("保管人")。美國存託憑證與股份比率 可根據存款協議第IV條和第VI條的規定進行修訂。保存人的主要辦事處位於 388 Greenwich Street,New York,New York 10013,U.S.A.
(1)存款協議。此 美國存託憑證是美國存託憑證(以下簡稱"ADR")發行的一批,所有發行和將要發行的 均根據存款協議中規定的條款和條件,日期為: [日期], 2023 (as amended and supplemented from time to time, the “Deposit Agreement”), by and among the Company, the Depositary, and all Holders and Beneficial Owners from time to time of ADSs issued thereunder. The Deposit Agreement sets forth the rights and obligations of Holders and Beneficial Owners of ADSs and the rights and duties of the Depositary in respect of the Shares deposited thereunder and any and all other Deposited Property (as defined in the Deposit Agreement) from time to time received and held on deposit in respect of the ADSs. Copies of the Deposit Agreement are on file at the Principal Office of the Depositary and with the Custodian. Each Holder and each Beneficial Owner, upon acceptance of any ADSs (or any interest therein) issued in accordance with the terms and conditions of the Deposit Agreement, shall be deemed for all purposes to (a) be a party to and bound by the terms of the Deposit Agreement and the applicable ADR(s), and (b) appoint the Depositary its attorney-in-fact, with full power to delegate, to act on its behalf and to take any and all actions contemplated in the Deposit Agreement and the applicable ADR(s), to adopt any and all procedures necessary to comply with applicable law and to take such action as the Depositary in its sole discretion may deem necessary or appropriate to carry out the purposes of the Deposit Agreement and the applicable ADR(s), the taking of such actions to be the conclusive determinant of the necessity and appropriateness thereof. The manner in which a Beneficial Owner holds ADSs (e.g., in a brokerage account vs. as registered holder) may affect the rights and obligations of, the manner in which, and the extent to which, services are made available to, Beneficial Owners pursuant to the terms of the Deposit Agreement.
本ADR的 正面和反面所作的聲明是對存款協議和公司章程的某些條款的總結 (在存款協議簽署之日起生效),並受 存款協議和公司章程的詳細條款的限制和約束,特此引用。
此處未定義的所有大寫術語應具有《存款協議》中賦予其的含義。
A-2
保管人對存放財產的有效性或價值不作任何陳述或擔保。保管人已作出安排,將美國存託憑證 納入存託憑證。通過DTC持有的ADS的每個實益所有人必須依靠DTC和DTC參與者的程序行使並有權享有可歸因於該等ADS的任何權利。然而,受制於存款協議第2.13節的條款和條件,託管銀行可以發行無證書的美國存託憑證。
(2) Surrender of ADSs and Withdrawal of Deposited Securities. The Holder of this ADR (and of the ADSs evidenced hereby) shall be entitled to Delivery (at the Custodian’s designated office) of the Deposited Securities at the time represented by the ADSs evidenced hereby upon satisfaction of each of the following conditions: (i) the Holder (or a duly-authorized attorney of the Holder) has duly Delivered ADSs to the Depositary at its Principal Office the ADSs evidenced hereby (and, if applicable, this ADR evidencing such ADSs) for the purpose of withdrawal of the Deposited Securities represented thereby, (ii) if applicable and so required by the Depositary, this ADR Delivered to the Depositary for such purpose has been properly endorsed in blank or is accompanied by proper instruments of transfer in blank (including signature guarantees in accordance with standard securities industry practice), (iii) if so required by the Depositary, the Holder of the ADSs has executed and delivered to the Depositary a written order directing the Depositary to cause the Deposited Securities being withdrawn to be Delivered to or upon the written order of the person(s) designated in such order, and (iv) all applicable ADS fees and charges of, and expenses incurred by, the Depositary and all applicable taxes and governmental charges (as are set forth in Section 5.9 of, and Exhibit B to, the Deposit Agreement) have been paid, 然而,在每種情況下,受試者、證明已交存美國託憑證的本ADR的條款和條件、 存款協議、公司的公司章程和任何適用法律和JASDEC規則,以及任何 有關或管轄已存存證券的條款,在每種情況下均有效。在滿足上述每個 條件後,存管人(i)應取消向其提交的美國存託憑證(以及,如適用,本ADR證明已交付的ADS),(ii)應指示註冊處記錄已交付的ADS的取消,以及(iii)應 應指示託管人交付,或促使交付,在每種情況下,不得不不合理延遲,由註銷的ADS代表的存管證券 連同存管證券的任何證書或其他所有權文件,或 電子轉讓的證據(如有)(視情況而定)(視情況而定),或根據在交付給存管人的命令中指定的人員 的書面命令, 然而,在每種情況下,主題、存款協議的條款和條件、證明ADS被取消的本ADR、公司的公司章程、 任何適用法律和JASDEC的規則,以及 在每種情況下,在所有情況下都有效的託管證券的條款和條件。
收到ADS持有人滿意的 指示,並支付存管人就發行、註銷、 和轉換ADS而支付的適用税款和ADS費用(如《存款協議》第5.9節和附件B以及本ADR中所述),在遵守《存款協議》的適用條款和條件以及適用法律的前提下,在 將一個系列的ADS轉換為另一個系列的ADS時取消ADS(例如,與限制ADS轉換為可自由轉移的ADS以及部分權利ADS轉換為完全權利ADS),在這種情況下,(i)如此取消的一個系列的ADS數量應等於相應系列的發行ADS數量,及(ii)存管人應在適用的範圍內 指示託管人將相應的股份從和轉入為 適用ADS系列維護的適用託管賬户。
A-3
託管機構不得接受少於一(1)股的美國存託憑證退還。如果向其交付的美國存託憑證數量不是整個 股數,則託管機構應根據本協議的條款,安排適當的完整數量股份的所有權交付,並應由託管機構酌情決定:(I)向交出該等美國存託憑證的人返還代表任何剩餘零碎股份的美國存託憑證數量,或(Ii)出售或導致出售如此交出的美國存託憑證所代表的零碎股份,並將出售所得收益(扣除(A)適用的費用和收費以及由此產生的開支)託管和(B) 預扣税款)給交出美國存託憑證的人。
儘管本美國存託憑證或《存託協議》另有規定,託管機構仍可在託管機構的主要辦事處交付已存入的財產,包括(I)任何現金股息或現金分配,或(Ii)出售任何非現金分配所得的任何收益, 託管人當時就已交回註銷和提取的美國存託憑證所代表的已交存證券 。應任何交出本美國存託憑證所代表的美國存託憑證的持有人的要求、風險和費用,併為該 持有人的賬户,託管人應指示託管人(在法律允許的範圍內)將其就該等美國存託憑證持有的任何已存放財產(已存放的證券除外)轉交給託管人,以便交付給託管機構的主要辦事處。此類指示應以信函方式發出,或應持有人的要求、風險和費用,通過電報、電傳或傳真發出。
本公司已通知 存管人,截至存管協議日期,本公司或其任何FEFTA涵蓋實體均未開展、開展或 任何計劃開展任何FEFTA指定業務。然而,存管人已被告知,根據自存款協議之日起生效的日本外匯 和對外貿易法("FEFTA"),如果公司或其任何FEFTA涵蓋的 實體確實從事某些FEFTA指定業務,受限於"特定收購(德亭)" 外國投資者,任何預期在向存管人交出美國存託憑證以註銷時收到股份交付的外國投資者, 可能需要根據FEFTA向適用的日本政府當局發出FEFTA通知,並等待FEFTA法定等待期的令人滿意的通知 ,在每種情況下,在接受交付 擬在向存管人交出美國存託憑證以註銷後撤回的股份之前,擬撤回的股份。因此,如果本公司或其任何FEFTA 涵蓋實體確實從事某些FEFTA指定業務,德亭)" 外國投資者、美國存託證券持有人和受益所有人,如果是希望將美國存託證券交還給存託人以 註銷以撤回存托股份,必須及時提交,或通知他們打算指示 交付股份的人員及時提交一份FEFTA預通知,並確保FEFTA法定等待期令人滿意, 在向保存人提交美國存託憑證以註銷之前。如果本公司已通知存管人,本公司或其 任何FEFTA涵蓋實體確實從事某些FEFTA指定業務,德亭)" ,存管人將不接受由"外國投資者"或為"外國投資者"註銷的ADS,以撤回股份 ,除非並直至其收到令人滿意的保證,即已發出任何所需的FEFTA通知,且 FEFTA法定等待期已經發生,在每種情況下,建議撤回並交付給外國投資者的股份 。
A-4
(3)ADR的轉移、合併和拆分 。註冊處應登記本ADR的轉讓(以及本文所代表的美國存託憑證)在為此目的而保存的賬簿上 ,存託人應(x)取消本存託憑證並簽署新存託憑證,證明與存託人取消的本存託憑證所證明的數量相同的美國存託憑證,(y)促使註冊處副署此類新存託憑證,(z)如果滿足以下條件,則向有權獲得該等新ADR的人或根據其命令交付該等新ADR:(i)本ADR已由持有人正式交付(或由持有人正式授權的代理人)送交保存人在其主要辦事處,以實現其轉讓,(ii)該交回的ADR已適當 背書或附有適當的轉讓文書(包括根據標準證券 行業慣例的簽名擔保),(iii)該交回的ADR已加蓋適當印花(如果紐約州或 美國法律要求),以及(iv)所有適用的費用和收費,以及由以下方面引起的費用,交存人和所有適用税費 和政府費用(如交存協議第5.9節和附件B所述)已支付, 受試者, 但在每種情況下,本ADR、存款協議和適用法律的條款和條件,在每種情況下均為 生效時。
註冊官應將本ADR(和本協議所代表的ADR)的拆分或組合登記在為此目的而保存的賬簿上,託管人應(X)註銷本ADR並按所請求的ADR數量籤立新的ADR,但總數不超過由託管機構註銷的本ADR所證明的ADR數量,(Y)促使註冊官會籤該新ADR,以及(Z)將該新ADR交付給或應其持有人的命令交付。如果滿足以下每個條件:(I)本ADR已由持有人(或持有人的正式授權代理人)為進行拆分或合併的目的而向其主要辦事處的託管機構正式交付,以及(Ii)託管機構的所有適用費用和費用以及由此產生的費用,以及所有適用的税費和政府收費(如《託管協議》第5.9節和附件B所述)均已支付。然而,在每種情況下,受試者,遵守本美國存託憑證、存款協議和適用法律的條款和條件,每種情況下的條款和條件均與當時有效。
(4) Pre-Conditions to Registration, Transfer, Etc. As a condition precedent to the execution and Delivery, the registration of issuance, transfer, split-up, combination or surrender, of any ADS, the delivery of any distribution thereon, or the withdrawal of any Deposited Property, the Depositary or the Custodian may require (i) payment from the depositor of Shares or presenter of ADSs or of this ADR of a sum sufficient to reimburse it for any tax or other governmental charge and any stock transfer or registration fee with respect thereto (including any such tax or charge and fee with respect to Shares being deposited or withdrawn) and payment of any applicable fees and charges of the Depositary as provided in Section 5.9 and Exhibit B to the Deposit Agreement and in this ADR, (ii) the production of proof satisfactory to it as to the identity and genuineness of any signature or any other matter contemplated by Section 3.1 of the Deposit Agreement, and (iii) compliance with (A) any laws or governmental regulations relating to the execution and Delivery of this ADR or ADSs or to the withdrawal of Deposited Securities and (B) such reasonable regulations as the Depositary and the Company may establish consistent with the provisions of this ADR, if applicable, the Deposit Agreement and applicable law.
A-5
The issuance of ADSs against deposits of Shares generally or against deposits of particular Shares may be suspended, or the deposit of particular Shares may be refused, or the registration of transfer of ADSs in particular instances may be refused, or the registration of transfer of ADSs generally may be suspended, during any period when the transfer books of the Company, the Depositary, a Registrar or the Share Registrar are closed or if any such action is deemed necessary or advisable by the Depositary or the Company, in good faith, at any time or from time to time because of any requirement of law or regulation, any government or governmental body or commission or any securities exchange on which the ADSs or Shares are listed, or under any provision of the Deposit Agreement or this ADR, if applicable, or under any provision of, or governing, the Deposited Securities, or because of a meeting of shareholders of the Company or for any other reason, subject, in all cases to Section 7.8 of the Deposit Agreement and paragraph (26) of this ADR. Notwithstanding any provision of the Deposit Agreement or this ADR to the contrary, Holders are entitled to surrender outstanding ADSs to withdraw the Deposited Securities associated therewith at any time subject only to (i) temporary delays caused by closing the transfer books of the Depositary or the Company or the deposit of Shares in connection with voting at a shareholders’ meeting or the payment of dividends, (ii) the payment of fees, taxes and similar charges, (iii) compliance with any U.S. or foreign laws or governmental regulations relating to the ADSs or to the withdrawal of the Deposited Securities, and (iv) other circumstances specifically contemplated by Instruction I.A.(l) of the General Instructions to Form F-6 (as such General Instructions may be amended from time to time).
(5)遵守信息 請求。儘管存款協議或本ADR有任何其他規定, ADS的每個持有人和受益所有人特此同意遵守公司根據適用法律、 股份或ADS註冊、交易或上市的任何證券交易所的規則和要求,或 公司的公司章程,這些條款旨在提供信息, 除其他外,關於該持有人或受益所有人 擁有ADS的身份,(以及該等ADS所代表的股份,視情況而定),以及在該等ADS中擁有利益的任何其他人士的身份 (以及該等ADS所代表的股份,視情況而定)以及該等權益的性質以及各種其他 事項,不論他們在提出該等要求時是否為持有人及/或實益擁有人。
(6) Ownership Restrictions. Notwithstanding any other provision contained in this ADR or of the Deposit Agreement to the contrary, the Company may restrict transfers of the Shares where such transfer might result in ownership of Shares exceeding limits imposed by applicable law or the Articles of Incorporation of the Company. The Company may also restrict, in such manner as it deems appropriate, transfers of the ADSs where such transfer may result in the total number of Shares represented by the ADSs owned by a single Holder or Beneficial Owner to exceed any such limits. The Company may, in its sole discretion but subject to applicable law, instruct the Depositary to take action with respect to the ownership interest of any Holder or Beneficial Owner in excess of the limits set forth in the preceding sentence, including but not limited to, the imposition of restrictions on the transfer of ADSs, the removal or limitation of voting rights or the mandatory sale or disposition on behalf of a Holder or Beneficial Owner of the Shares represented by the ADSs held by such Holder or Beneficial Owner in excess of such limitations, if and to the extent such disposition is permitted by applicable law and the Articles of Incorporation of the Company. Nothing herein or in the Deposit Agreement shall be interpreted as obligating the Depositary or the Company to ensure compliance with the ownership restrictions described herein or in Section 3.5 of the Deposit Agreement.
A-6
(7)報告義務和監管審批。適用的法律和法規可能要求股份持有人和實益擁有人,包括美國存託憑證持有人和實益擁有人,在某些情況下滿足報告要求並獲得監管批准。 美國存託憑證持有人和實益擁有人單獨負責確定和遵守此類報告要求並獲得此類批准。各持有人及各實益擁有人在此同意作出有關決定、提交有關報告,並按不時生效的適用法律及法規所要求的程度及形式取得有關批准。 託管銀行、託管人、本公司或其各自的任何代理人或附屬公司均無須代表持有人或實益擁有人採取任何 行動,以確定或符合有關報告要求或根據適用法律及法規取得有關監管批准。
(8)納税和其他費用的責任。託管人或託管人就任何存放的財產、美國存託憑證或本美國存託憑證應支付的任何税款或其他政府費用應由持有人和實益所有人向託管人支付。本公司、託管人和/或託管人可扣留或扣除就代表該 持有人及/或實益擁有人持有的存放財產而作出的任何分派,並可代持有人及/或實益擁有人出售任何或全部該等存放的財產,並將該等分派及銷售收益用於支付持有人或實益擁有人就美國存託憑證、存放財產及本美國存託憑證及本美國存託憑證、 持有人及實益擁有人支付或可能須支付的任何税款(包括適用的利息及罰款)或 費用。託管人可拒絕存放股份,而託管人可拒絕發行美國存託憑證、交付美國存託憑證、登記美國存託憑證的轉讓、登記美國存託憑證的拆分或組合 以及(在符合本美國存託憑證第(26)款和《存款協議》第7.8條的規定下)提取所存放的財產,直至收到該等税款、費用、罰款或利息的全額付款為止。每個持有人和實益擁有人同意賠償託管人、本公司、託管人及其任何代理人、高級管理人員、僱員和關聯公司,並使他們每個人不因下列原因而產生的任何税款(包括適用的利息和罰款)索賠而受到損害:(I)該持有人持有和/或該實益擁有人擁有的任何美國存托股份;(Ii)美國存託憑證所代表的存款財產;及(Iii)該持有人及/或實益擁有人就美國存託憑證及/或其所代表的存入財產所訂立的任何交易。 即使存託協議或任何美國存託憑證有任何相反規定,持有人及實益擁有人根據第3.2節所承擔的義務,在美國存託憑證的任何轉讓、美國存託憑證的任何註銷及存入證券的撤回以及 存託協議終止後仍繼續有效。
A-7
(9)關於股票保證金的陳述和擔保。根據《存款協議》交存股份的每一人應被視為代表並保證(I)該等股份及其證書已由該人合法地正式授權、有效發行、足額支付、免評税及 ,(Ii)有關該等股份的所有優先(及類似)權利(如有)已被有效放棄或行使,(Iii)作出該等存款的人獲正式授權如此行事,(Iv)就該等股份呈交的股份不存在任何留置權、產權負擔、擔保權益、押記、抵押或反索償,(V)就股份轉讓予保管人而言,在日本(包括但不限於根據FEFTA (Br)(如有)項下的所有批准、清理及通知),提交供存放的股份並未被剝奪任何權利或權利,及 (Vii)已妥為取得所有必需的監管批准及許可,以及所有必需的適用監管通知已妥為發出(包括但不限於FEFTA (如有)項下的所有批准、清理及通知),託管人或其各自的代名人與根據存託協議存放股份有關的 。該等陳述及保證在存入及退出股份、發行及註銷有關股份的美國存託憑證及美國存託憑證轉讓後仍然有效。如任何該等陳述或保證書以任何方式失實,本公司及保管人將獲授權採取任何及所有必要行動,以糾正其後果,費用及開支由股份存放人承擔。
(10)證明、證書和其他信息。提交股份以供存放的任何人、任何持有人和任何實益所有人可能被要求 ,並且每個持有人和實益所有人同意不時向託管人和託管人提供關於公民身份或居住權、納税人身份、支付所有適用税款或其他政府費用、外匯管制批准、美國存託憑證和存款財產的合法或實益所有權、遵守適用法律、《存款協議》或本美國存託憑證的條款、證明美國存託憑證的條款、或管理存款財產的證明、簽署該等證明以及作出該等陳述和保證的證明。並提供託管人或託管人認為必要或適當的其他資料及文件(或如為登記形式股份,則為提交以供存放的登記形式的股份,則為與登記於本公司或股份過户登記處的賬簿上的登記有關的資料),或本公司根據存款協議及本美國存託憑證向託管人提出書面要求而合理地要求 的其他資料及文件。託管人及註冊處處長(視何者適用而定)可暫緩籤立、交付或登記任何美國存託憑證或美國存托股份的轉讓,或任何股息或權利分配或其收益的分發或出售,或在不受《存款協議》第(Br)(26)段及第7.8條限制的範圍內,暫停交付任何存放的財產,直至提交有關證明或其他資料或籤立有關證明,或作出上述陳述和保證或提供上述其他文件或資料為止,在每種情況下,註冊處處長及公司的滿意程度。
A-8
(11)美國存托股份收費。 以下美國存托股份費用(其中一些可能是累積的)根據存款協議的條款支付:
(i) | 美國存托股份發行費:任何獲發美國存託憑證的人士(例如:,於股份存放、美國存托股份(S)與股份(S)比率改變或任何其他原因下發行,不包括因以下(Br)段(Iv)所述分派而發行,費用不超過根據存託協議條款發行的每100張美國存託憑證(不足100張美國存託憑證)5美元; |
(Ii) | 美國存托股份取消費用:任何被取消美國存託憑證的人(例如:在美國存托股份(S)與股票(S)的比例發生變化或任何其他原因時,取消 用於交付存放股票的美國存託憑證,取消不超過每100個美國存託憑證(不足100個)5美元的費用; |
(Iii) | 現金分配費:任何美國存託憑證持有者為分配現金股息或其他現金分派而收取的費用,每100份美國存託憑證不超過5美元(或不足100份)。例如:,在出售權利和其他權利時); |
(Iv) | 股票分派/行權費:美國存托股份的任何持有人(S),根據(A)股票股息或其他免費股票分派,或(B)行使購買額外美國存託憑證的權利,持有的每100張美國存託憑證(或不足100張美國存託憑證)不超過5美元的費用; |
(v) | 其他分銷費:美國存托股份的任何持有人(S),為分銷金融工具,包括但不限於美國存託憑證以外的證券或購買額外美國存託憑證的權利(例如:、分拆股份和或有價值權); |
(Vi) | 託管服務費:由美國存托股份的任何持有人(S)在託管銀行設立的適用記錄日期(S)持有的每100張美國存託憑證 (或不足100張)收取不超過5美元的費用; |
(Vii) | 美國存托股份轉賬手續費登記:任何美國存托股份持有人(S)或任何人將美國存託憑證轉讓給 ,每100個美國存託憑證(不足100個美國存託憑證)收取不超過5美元的費用;以及 |
(Viii) | 美國存托股份轉換費:任何美國存托股份持有者(S)或任何收到轉換後的美國存託憑證的人,從一個美國存托股份系列轉換到另一個美國存托股份 系列的費用不超過每100個美國存托股份系列美國存託憑證5美元(或不足100個美國存託憑證) (例如:,在將部分權利ADS轉換為全部權利ADS時,或在將受限ADS轉換為 可自由轉讓的ADS時,以及反之亦然). |
A-9
根據《存款協議》的條款,本公司、持有人、受益所有者、存放股份或提取與美國存托股份發行和註銷相關的證券的人士,以及美國存託憑證的發行或註銷對象,應負責支付以下美國存托股份費用(其中一些可能是累積的):
(a) | 税收(包括適用的利息和罰款)和其他政府收費; |
(b) | 適用於在股份登記冊上登記股份或其他存放證券的不時有效的登記費,並適用於分別以託管人、託管人或任何代名人的名義進行存款和提款時股份或其他存放證券的轉讓; |
(c) | 《保證金協議》明確規定的電報、電傳和傳真傳輸和交付費用由存入股票或提取存入的證券的人或美國存託憑證的持有人和實益所有人承擔; |
(d) | 在外幣兑換方面,託管機構和/或轉換服務提供商(可能是託管機構的分支機構或附屬機構)的費用、開支、利差、税費和其他費用 。這些費用、費用、利差、税費和其他費用應從外幣中扣除; |
(e) | 在這種兑換過程中和/或代表持有人和實益所有人遵守貨幣兑換管制或其他政府要求而產生的任何合理和慣常的自付費用;以及 |
(f) | 託管人、託管人或任何代名人與ADR計劃有關的費用、收費、成本和開支,包括但不限於託管人的費用和開支,包括律師的費用和開支,以及與根據《存款協議》存入、存入或退出ADR計劃的股份有關的任何FEFTA相關文件的費用和開支,包括但不限於FEFTA預先通知、FEFTA執行報告、FEFTA 10%投票/所有權報告和FEFTA股份提取報告; |
(g) | 存款協議任何一方根據存款協議的任何附屬 就ADR計劃、ADS和ADR向存管人支付的金額。 |
所有美國存托股份費用及收費可隨時及不時由託管銀行與本公司協議更改,但就美國存托股份由持有人及實益擁有人支付的費用及收費而言,僅可按本美國存託憑證第(24)段及存款協議第 6.1節預期的方式更改。託管銀行應應要求免費向任何人提供其最新美國存托股份收費表的副本。
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美國存托股份就(I) 發行美國存託憑證及(Ii)註銷美國存託憑證而收取的費用將由託管銀行代其發行美國存託憑證的人(如屬美國存托股份發行)及被註銷美國存託憑證的人(如屬美國存托股份註銷)支付。如美國存託憑證由存託憑證發行或經由直接受託憑證交予託管銀行,美國存托股份的發行及註銷費用將由直接受託憑證參與人(S)代表存託憑證持有人(S)收到美國存託憑證的存託憑證參與者(S)或持有被註銷美國存託憑證的直接受託憑證參與者(S)(視情況而定)支付,並將由直接受託憑證參與人(S)按照直接受託憑證參與者(S)當時有效的程序及慣例,向適用的 實益所有人(S)的賬户(S)收取。美國存托股份與分發有關的費用和手續費 自託管機構建立的適用美國存托股份記錄日期起由持有人支付。 如果是現金分發,適用的美國存托股份費用和收費金額將從所分發的資金中扣除。 如果是(I)現金以外的分發和(Ii)美國存托股份服務費,將向託管機構建立的美國存托股份記錄日期為止的適用持有人開出美國存托股份費用和收費的發票,此類美國存托股份費用可從向持有人進行的分配中扣除。對於通過DTC持有的美國存託憑證,非現金分發的美國存托股份費用和手續費以及美國存托股份服務費可從通過DTC進行的分發中扣除 ,並可按照DTC不時規定的程序和做法向DTC參與者收取 ,DTC參與者進而向其持有ADS的受益所有人收取此類美國存托股份費用和手續費 。在(I)登記美國存托股份轉讓的情況下,美國存托股份轉讓費將由正在轉讓美國存託憑證的美國存托股份持有人或美國存託憑證受讓人支付,以及(Ii)將一個系列的美國存託憑證轉換為另一個系列的美國存託憑證(這可能涉及註銷、發行和轉讓美國存託憑證,以及將美國存託憑證從一個系列轉換為另一個系列), 適用的美國存托股份發行、註銷、轉讓和轉換費將由轉換美國存託憑證的持有人或由轉換後的美國存託憑證的收件人支付。
託管人可根據 公司和託管人不時商定的條款和條件,通過提供就美國存託憑證計劃收取的部分美國存托股份費用或其他方式,向公司償還公司因根據存款協議設立的美國存託憑證計劃而產生的某些費用。公司應向託管人支付託管人和公司可能不時商定的費用,並向託管人償還此類自付費用。支付該等費用、收費和報銷的責任可由本公司與保管人之間的協議不時更改。除非另有約定, 託管銀行應每三個月向本公司提交一次有關該等費用、收費和補償的報表。託管人的費用和費用由託管人獨家承擔。公司同意補償保管人根據保證金協議第5.11節所述條款作出任何FEFTA要求的通知的費用,包括律師的費用和開支。
存款協議終止後,持有人和實益所有人支付美國存托股份手續費的義務將繼續有效。對於任何託管人,當《託管協議》第5.4節所述託管人 辭職或撤職時,收取美國存托股份手續費的權利應延伸至該辭職或撤職生效之前發生的美國存托股份手續費及收費。
A-11
(12)藥品不良反應的名稱。在遵守《存託協議》和本《存託憑證》所載限制的前提下,這是本《存託憑證》的一項條件,而本《存託憑證》的每一位連續持有人通過接受或持有相同的同意和同意,本《存託憑證》(以及在此證明的每一份有憑證的美國存托股份)的所有權可按紐約州法律規定的有憑證證券的相同條款轉讓,但條件是, 就有憑證的《美國存託憑證》而言,本《美國存託憑證》已得到適當背書或附有適當的轉讓文書。 儘管有任何相反通知,在所有情況下,託管銀行和本公司可將本美國存託憑證的持有人(即在託管銀行賬簿上登記本美國存託憑證的人)視為其絕對所有者。 託管銀行或本公司均不對本美國存託憑證的任何持有人或任何實益擁有人負有任何義務,亦不受本存託協議或本美國存託憑證項下的任何責任的約束,除非就美國存託憑證持有人而言,該持有人是登記在託管銀行賬簿上的本美國存託憑證的持有人,或就實益擁有人而言,該實益擁有人或受益的 業主代表是登記在託管銀行賬簿上的該持有人。
(13)《藥品不良反應》的有效性。除非本存託憑證已(I)註明日期,(Ii)經寄存人正式授權簽署人以手寫或傳真簽署,(Iii)經註冊處正式授權簽署人以手寫或傳真簽署加簽,及(Iv)已登記於註冊處處長備存的發行及轉讓登記簿冊內,否則本存託憑證持有人(S)(及本表所代表的存託憑證持有人)無權享有存款協議下的任何利益,亦不得就任何目的而對存託憑證或本公司有效或可強制執行。帶有寄存人或註冊處正式授權簽字人傳真簽名的ADR,在簽署時是託管人或註冊處處長(視屬何情況而定)的正式授權簽字人,應對託管人具有約束力,即使該簽字人在託管人交付該ADR之前已不再獲授權也是如此。
(14)可用的 信息;報告;檢查轉賬賬簿。本公司須遵守《交易法》的定期報告要求,因此需要向委員會提交或提交某些報告。這些報告可從委員會的網站(www.sec.gov)檢索,並可在委員會維護的公共參考設施中查閲和複製(截至《存款協議》之日),地址為華盛頓特區20549。託管人應 將從本公司收到的任何報告和通訊,包括徵集 材料的委託書,放在其主要辦事處供持有人查閲,該等報告和通訊包括:(A)託管人、託管人或其中任何一人的代名人 作為存放財產的持有人而收到的;及(B)公司向該等存放財產的持有人普遍提供的報告和通訊。
註冊處處長鬚備存登記美國存託憑證的簿冊 ,並於任何合理時間開放予本公司及該等美國存託憑證持有人查閲,但據註冊處處長所知,該等查閲不得為與該等美國存託憑證持有人就本公司業務以外的業務或宗旨或與存款協議或美國存託憑證有關的事宜以外的事宜而與該等美國存託憑證持有人進行溝通。
註冊處處長可在任何情況下,在符合存款協議第 (26)段及第7.8節的規定下,在履行本協議項下的職責時,或在本公司的合理書面要求下,於任何時間或不時關閉與美國存託憑證有關的轉讓賬簿。
日期:
花旗銀行,N.A. 轉讓代理和註冊處 | 北卡羅來納州花旗銀行 作為託管人 | |||
發信人: | 發信人: | |||
授權簽字人 | 授權簽字人 |
託管機構負責人的地址是紐約格林威治街388號,郵編:10013。
A-12
[藥品不良反應的倒置形式]
若干額外條文的摘要
押金協議的
(15) 現金、股票等形式的股息和分配(A)現金分配: Upon the timely receipt by the Depositary of a notice from the Company that it intends to make a distribution of a cash dividend or other cash distribution, the Depositary shall establish the ADS Record Date upon the terms described in Section 4.9 of the Deposit Agreement. Upon confirmation of receipt of (x) any cash dividend or other cash distribution on any Deposited Securities, or (y) proceeds from the sale of any Deposited Property held in respect of the ADSs under the terms of the Deposit Agreement, the Depositary will (i) if any amounts are received in a Foreign Currency, promptly convert or cause to be converted such cash dividend, distribution or proceeds into Dollars (subject to the terms and conditions described in Section 4.8 of the Deposit Agreement), (ii) if applicable and unless previously established, establish the ADS Record Date upon the terms described in Section 4.9 of the Deposit Agreement, and (iii) distribute promptly the amount thus received (net of (a) the applicable fees and charges described in the Fee Schedule attached as Exhibit B to the Deposit Agreement and (b) applicable taxes withheld) to the Holders entitled thereto as of the ADS Record Date in proportion to the number of ADSs held as of the ADS Record Date. The Depositary shall distribute only such amount, however, as can be distributed without attributing to any Holder a fraction of one cent, and any balance not so distributed shall be held by the Depositary (without liability for interest thereon) and shall be added to and become part of the next sum received by the Depositary for distribution to Holders of ADSs outstanding at the time of the next distribution. If the Company, the Custodian or the Depositary is required to withhold and does withhold from any cash dividend or other cash distribution in respect of any Deposited Securities, or from any cash proceeds from the sales of Deposited Property, an amount on account of taxes, duties or other governmental charges, the amount distributed to Holders on the ADSs shall be reduced accordingly. Such withheld amounts shall be forwarded by the Company, the Custodian or the Depositary to the relevant governmental authority. Evidence of payment thereof by the Company shall be forwarded by the Company to the Depositary upon request. The Depositary will hold any cash amounts it is unable to distribute in a non-interest bearing account for the benefit of the applicable Holders and Beneficial Owners of ADSs until the distribution can be effected or the funds that the Depositary holds must be escheated as unclaimed property in accordance with the laws of the relevant states of the United States. Notwithstanding anything contained in the Deposit Agreement to the contrary, in the event the Company fails to give the Depositary timely notice of the proposed distribution provided for above, the Depositary agrees to use commercially reasonable efforts to perform the actions contemplated in Section 4.1 of the Deposit Agreement, and the Company, the Holders and the Beneficial Owners acknowledge that the Depositary shall have no liability for the Depositary’s failure to perform the actions contemplated in Section 4.1 of the Deposit Agreement where such notice has not been so timely given, other than its failure to use commercially reasonable efforts, as provided herein.
A-13
(b) 股份分配: Upon the timely receipt by the Depositary of a notice from the Company that it intends to make a distribution that consists of a dividend in, or free distribution of Shares, the Depositary shall establish the ADS Record Date upon the terms described in Section 4.9 of the Deposit Agreement. Upon receipt of (x) confirmation from the Custodian of the receipt of the Shares so distributed by the Company, and (y) confirmation from the Company that it wishes such distribution to be made available to Holders of ADSs and satisfactory documentation within the terms of Section 5.7 of the Deposit Agreement, the Depositary shall either (i) subject to Section 5.9 of the Deposit Agreement, distribute to the Holders as of the ADS Record Date in proportion to the number of ADSs held as of the ADS Record Date, additional ADSs, which represent in the aggregate the number of Shares received as such dividend, or free distribution, subject to the other terms of the Deposit Agreement (including, without limitation, (a) the applicable fees and charges of, and expenses incurred by, the Depositary and (b) taxes), or (ii) if additional ADSs are not so distributed, take all actions necessary so that each ADS issued and outstanding after the ADS Record Date shall, to the extent permissible by law, thenceforth also represent rights and interests in the additional integral number of Shares distributed upon the Deposited Securities represented thereby (net of (a) the applicable fees and charges of, and expenses incurred by, the Depositary, and (b) taxes). In lieu of delivering fractional ADSs, the Depositary shall sell the number of Shares or ADSs, as the case may be, represented by the aggregate of such fractions and distribute the net proceeds upon the terms described in Section 4.1 of the Deposit Agreement.
如果(X)託管人確定財產(包括股份)的任何分配須繳納 託管人有義務扣繳的任何税收或其他政府費用,或者,(Y)公司已通知託管人,其不希望將該等股份分發給美國存託憑證持有人,或在履行其根據《存款協議》第5.7條承擔的義務時,已通知存託管理人, 根據日本法律不能合法地向美國存託憑證的持有人和實益所有人分配股份,或未能提供令人滿意的文件,證明根據日本法律可以合法地向美國存託憑證的持有人和實益所有人分配股份,或者提供了美國律師的意見,確定必須根據證券法或其他法律 股票登記才能向持有人分配(此類登記聲明尚未宣佈生效),託管人可按託管人認為必要和可行的金額和方式,處置該等財產的全部或部分(包括股份和認購權),包括公開或私下出售,託管人應根據《託管協議》第4.1節的條款,將任何此類出售的淨收益(在扣除(A)税和(B)費用及託管人發生的費用後)分配給有權 的持有人。保管人應根據《保證金協議》的規定持有和/或分配此類財產的任何未售出餘額。儘管《存託協議》中有任何與此相反的規定,但如果本公司未能就上述規定的建議分配及時通知託管人,則託管人 同意採取商業上合理的努力來執行《存託協議》第4.2節所述的行動,本公司、 持有人和實益所有人確認,託管人不對託管人未能按照本協議第4.2節的規定執行《託管人協議》第4.2節所述的行為負任何責任,除非 未能按照本協議的規定使用商業合理努力。
A-14
(c) 現金或股票的選擇性分配 :在及時收到通知表示本公司希望根據存款協議所述條款向美國存託憑證持有人提供現金或 股票選擇性分派後,本公司及保管人應根據存款協議確定該項分派是否合法及合理可行。託管人應 在下列情況下向持有人提供選擇性分發:(I)本公司應及時要求向持有人提供選擇性分發,(Ii)託管人應已確定此類分發是合理可行的,以及(Iii) 託管人應已根據《存款協議》第5.7節的規定收到令人滿意的文件。如果滿足上述條件 ,託管銀行應在符合《存款協議》條款和條件的情況下,於《存款協議》第4.9節的條款確定美國存托股份備案日期,並建立程序,使本協議持有人能夠選擇以現金或額外的美國存託憑證接收建議的 分配。如果持有者選擇接受現金分發,則在現金分發的情況下,分發應為 。如本協議持有人選擇收取額外美國存託憑證的分派,則分派須如按存款協議所述條款以股份分派的情況一樣進行。如果這種選擇性分配並不合理地可行,或者如果託管人沒有收到《存款協議》中規定的令人滿意的文件,則託管人應根據《存款協議》第4.9節的條款建立一個美國存托股份記錄日期,並在法律允許的範圍內,根據與日本就未作選擇的股份所作的相同決定,向持有人分發 (X)現金或(Y)代表該等額外股份的額外美國存託憑證,在每種情況下,根據《存款協議》中所述的條款。 本協議或《存款協議》中的任何內容均無義務向本協議的持有人提供一種方法,以收取 股票(而非美國存託憑證)的選擇性分配。不能保證本協議的持有人將有機會 按照與股份持有人相同的條款和條件獲得選擇性分派。儘管《託管協議》中有任何相反規定,但如果本公司未能及時向託管機構發出上述 規定的建議分配通知,託管機構同意採取商業上合理的努力來執行託管服務協議第4.3節所述的行動,並且本公司、持有人和實益所有人承認,託管機構不應對託管機構未能按照本協議規定採取商業合理努力以外的條款第4.3條所述的行為承擔責任。
(d) 分配購買額外美國存託憑證的權利: Upon the timely receipt by the Depositary of a notice indicating that the Company wishes rights to subscribe for additional Shares to be made available to Holders of ADSs, the Depositary upon consultation with the Company, shall determine, whether it is lawful and reasonably practicable to make such rights available to the Holders. The Depositary shall make such rights available to any Holders only if (i) the Company shall have timely requested that such rights be made available to Holders, (ii) the Depositary shall have received satisfactory documentation within the terms of Section 5.7 of the Deposit Agreement, and (iii) the Depositary shall have determined that such distribution of rights is reasonably practicable. If such conditions are not satisfied or if the Company requests that the rights not be made available to Holders of ADSs, the Depositary shall sell the rights as described below. In the event all conditions set forth above are satisfied, the Depositary shall establish the ADS Record Date (upon the terms described in Section 4.9 of the Deposit Agreement) and establish procedures to (x) distribute rights to purchase additional ADSs (by means of warrants or otherwise), (y) enable the Holders to exercise such rights (upon payment of the subscription price and of the applicable (a) fees and charges of, and expenses incurred by, the Depositary and (b) taxes), and (z) deliver ADSs upon the valid exercise of such rights. Nothing herein or in the Deposit Agreement shall obligate the Depositary to make available to the Holders a method to exercise rights to subscribe for Shares (rather than ADSs). If (i) the Company does not timely request the Depositary to make the rights available to Holders or requests that the rights not be made available to Holders, (ii) the Depositary fails to receive satisfactory documentation within the terms of Section 5.7 of the Deposit Agreement or determines it is not reasonably practicable to make the rights available to Holders, or (iii) any rights made available are not exercised and appear to be about to lapse, the Depositary shall determine whether it is lawful and reasonably practicable to sell such rights, in a riskless principal capacity, at such place and upon such terms (including public and private sale) as it may deem practicable. The Depositary shall, upon such sale, convert and distribute proceeds of such sale (net of applicable (a) fees and charges of, and expenses incurred by, the Depositary and (b) taxes) upon the terms hereof and of Section 4.1 of the Deposit Agreement. If the Depositary is unable to make any rights available to Holders upon the terms described in Section 4.4(a) of the Deposit Agreement or to arrange for the sale of the rights upon the terms described in Section 4.4(b) of the Deposit Agreement, the Depositary shall allow such rights to lapse. The Depositary shall not be liable for (i) any failure to accurately determine whether it may be lawful or practicable to make such rights available to Holders in general or any Holders in particular, (ii) any foreign exchange exposure or loss incurred in connection with such sale or exercise, or (iii) the content of any materials forwarded to the Holders on behalf of the Company in connection with the rights distribution.
A-15
Notwithstanding anything herein or in the Deposit Agreement to the contrary, if registration (under the Securities Act or any other applicable law) of the rights or the securities to which any rights relate may be required in order for the Company to offer such rights or such securities to Holders and to sell the securities represented by such rights, the Depositary will not distribute such rights to the Holders (i) unless and until a registration statement under the Securities Act (or other applicable law) covering such offering is in effect or (ii) unless the Company furnishes the Depositary opinion(s) of counsel for the Company in the United States and counsel to the Company in any other applicable country in which rights would be distributed, in each case satisfactory to the Depositary, to the effect that the offering and sale of such securities to Holders and Beneficial Owners are exempt from, or do not require registration under, the provisions of the Securities Act or any other applicable laws. In the event that the Company, the Depositary or the Custodian shall be required to withhold and does withhold from any distribution of Deposited Property (including rights) an amount on account of taxes or other governmental charges, the amount distributed to the Holders of ADSs shall be reduced accordingly. In the event that the Depositary determines that any distribution of Deposited Property (including Shares and rights to subscribe therefor) is subject to any tax or other governmental charges which the Depositary is obligated to withhold, the Depositary may dispose of all or a portion of such Deposited Property (including Shares and rights to subscribe therefor) in such amounts and in such manner, including by public or private sale, as the Depositary deems necessary and practicable to pay any such taxes or charges.
不能保證一般持有人,或特別是任何持有人,將有機會按與股份持有人相同的條款和條件獲得或行使權利,或能夠行使該等權利。本協議或存款協議中的任何內容均不要求 公司就行使該等權利後將收購的任何權利或股份或其他證券提交任何登記聲明。
(e) 現金、股份或股份購買權以外的其他分配:在收到通知表示本公司希望將現金、股份或購買額外股份的權利以外的財產轉讓給美國存託憑證持有人後,託管銀行應確定向持有人分發該等財產是否合法和合理可行。託管人不得進行此類分發,除非(I)本公司已要求託管人向持有人進行此類分發,(Ii)託管人已收到《託管協議》中設想的文件,以及(Iii)託管人已確定此類分發是合理可行的。在滿足該 條件後,託管銀行應將收到的財產在美國存托股份備案之日,按照各自持有的美國存託憑證數量的比例,以託管銀行認為可行的方式,將收到的財產分配給記錄持有人。 (I)在收到或扣除託管銀行適用的費用和支出後,以及(Ii)在扣除任何預扣的税金後。託管人可以按託管人認為切實可行或必要的方式(包括公開或私下出售)處置如此分配和存放的全部或部分財產,以支付適用於分配的任何税款(包括適用的利息和罰款)或其他政府收費。
A-16
如果不滿足上述條件,託管銀行應按其認為可行的條款,在其認為可行的一個或多個地點以公開或私下出售的方式出售或安排出售該財產,並應(I)將出售所得收益(如有)兑換成美元,以及(Ii)將託管銀行收到的此類轉換所得收益(扣除適用的(A)託管費用和收費及由此產生的支出和(B)税款)分配給截至美國存托股份記錄日期按本條款和《存款協議》規定的持有人。如果保管人無法 出售這類財產,保管人可以在這種情況下以其認為合理可行的任何方式為持有人處分這類財產。
對於(I)未能確定將存款協議第4.5節所述財產提供給一般持有人或任何特別持有人是否合法或可行,或(Ii)因出售或處置該等財產而產生的任何損失,保管人或本公司概不負責。
(16)救贖。於 及時收到本公司通知,表示擬就任何已交存證券行使贖回權,並提交令人滿意的文件,並於確定該建議贖回切實可行後,託管人應 (在可行範圍內)向每名持有人發出通知,列明本公司擬行使贖回權利及本公司向託管人發出的通知所載的任何其他詳情。託管人應指示託管人向本公司提交正在行使贖回權的已交存證券,以支付適用的贖回價格。在收到託管人確認贖回已經發生以及 已收到相當於贖回價格的資金後,託管人應轉換、轉移和分配收益 (扣除適用的(A)費用和託管人產生的費用以及(B)税),註銷ADS並註銷 ADR(如果適用),並在持有人交付ADS和存款協議第4.1和6.2節規定的條款後註銷ADR。若未贖回的已交存證券少於全部未贖回證券,則待註銷的美國存託憑證將由託管銀行按整批或按 比例選擇。每個美國存托股份的贖回價格應為託管人(經調整以反映美國存托股份(S)與股份(S)的比率)在贖回由美國存託憑證代表的已交存證券 時收到的每股金額 (受存託協議第4.8節的條款以及託管機構所產生的適用費用和税費的限制)乘以每個贖回的美國存托股份所代表的已交存證券的數量。 儘管存管協議中包含任何相反的規定,如果本公司未能將上述建議贖回的建議通知託管人,託管人同意以商業上合理的努力執行存款協議第4.7節所述的行動,而本公司、持有人及實益擁有人確認,託管人不會就託管人未能按照本協議第4.7條作出上述通知而承擔任何責任,但未能按本協議規定使用商業合理的努力除外。
(17)美國存托股份記錄日期的確定。 每當託管人收到本公司為確定有權接受任何分發(無論是現金、股票、權利或其他分發)的 託管證券持有人而設定的記錄日期的通知時,或者當 託管人因任何原因導致每個美國存托股份所代表的股份數量發生變化時,或者每當託管人收到股份或其他託管證券持有人的任何會議或徵求同意或委託書的通知時,或 每當託管銀行認為有必要或方便進行任何通知、徵求任何 同意或任何其他事項時,託管銀行應指定記錄日期(“美國存托股份記錄日期”),以確定有權接收此類分發的美國存托股份持有人(S),指示他們在 任何有關會議上行使投票權,給予或不給予同意,接收有關通知或徵求同意或以其他方式採取行動,或 就每個美國存托股份所代表的該等變更股份數目行使持有人的權利。在符合適用法律、本美國存託憑證的條款和條件以及存款協議第4.1至4.8節的情況下,只有在美國存托股份記錄日期紐約的美國存託憑證持有人在收盤時才有權接收此類分發、發出此類投票指示、 接收此類通知或徵求意見,或採取其他行動。
A-17
(18) 存託證券的表決。在收到已交存證券持有人有權參加的任何會議的通知,或收到已交存證券持有人徵求同意或委託書的通知後,託管人應根據 存管協議第4.9節的規定,儘快確定有關該會議或徵求同意或委託書的美國存托股份記錄日期。如果公司提出書面要求,託管人應及時(託管人沒有義務在投票或會議日期前至少四十五(45)天收到請求,則無採取任何進一步行動的義務),費用由公司承擔,且在美國法律不禁止的情況下,在美國存托股份記錄日期向持有人分發:(A)會議通知或徵求同意或委託代表;(B)一份聲明,説明在美國存托股份記錄日期交易結束時,在任何適用法律的規限下, 持有人將有權指示託管人行使與該持有人的美國存託憑證所代表的已交存證券有關的 投票權(如有),以符合任何適用法律、《存款協議》、《公司章程細則》以及《已交存證券》的規定或管理已交存證券的規定(如有)。和(C)關於可作出該等表決指示的方式的簡短陳述,作為 。
儘管《存託協議》或任何美國存託憑證有任何規定,但在法律或法規或美國存託憑證所在證券交易所的要求不禁止的範圍內,託管人可以向持有人分發通知,説明如何檢索此類材料,或應 要求接收此類材料,以代替分發與託管證券持有人的任何會議或徵求同意或委託書有關的材料。例如:,通過參考包含用於檢索的材料的網站或用於請求材料副本的聯繫人)。
僅可針對代表整數個已存證券的多個美國存託憑證發出投票指令。在美國存託憑證記錄日,根據存託人規定的方式及時收到美國存託憑證持有人 的投票指示後,存託人應在可行的範圍內, 在適用法律允許的範圍內,根據存託協議的條款、公司章程的條款 和存託證券的條款,努力投票,或促使託管人投票,根據該等投票指示,由該等持有人的存託證券(親自或由代理人) 。
Deposited Securities represented by ADSs for which no timely voting instructions are received by the Depositary from the Holder shall not be voted (except as otherwise contemplated herein). Neither the Depositary nor the Custodian shall under any circumstances exercise any discretion as to voting and neither the Depositary nor the Custodian shall vote, attempt to exercise the right to vote, or in any way make use of, for purposes of establishing a quorum or otherwise, the Deposited Securities represented by ADSs, except pursuant to and in accordance with the voting instructions timely received from Holders or as otherwise contemplated in the Deposit Agreement or herein. If the Depositary does not receive instructions from a Holder as of the ADS Record Date on or before the date established by the Depositary for such purpose, such Holder shall be deemed, and the Depositary shall deem such Holder, to have instructed the Depositary to give a discretionary proxy to a person designated by the Company to vote the Deposited Securities; provided, however, that no such discretionary proxy shall be given by the Depositary with respect to any matter to be voted upon as to which the Company informs the Depositary that (i) the Company does not wish such proxy to be given, (ii) substantial opposition exists by Holders or Beneficial Owners of ADSs, or (iii) the rights of holders of Deposited Securities may be adversely affected. If the Depositary timely receives voting instructions from a Holder which fail to specify the manner in which the Depositary is to vote the Deposited Securities represented by such Holder’s ADSs, the Depositary will deem such Holder (unless otherwise specified in the notice distributed to Holders) to have instructed the Depositary to vote in favor of the items set forth in such voting instructions.
儘管本協議另有規定,如本公司提出書面要求,託管人應代表所有已交存證券(無論截至美國存托股份記錄日期是否已收到持有人關於該等已交存證券的表決指示),以在股東大會上確定法定人數為唯一目的。
A-18
儘管《存託協議》或本《美國存託憑證》另有規定,託管人沒有義務對存託證券持有人的任何會議或徵求同意或委託書採取任何行動,如果採取此類行動將違反美國法律。公司 同意採取任何合理必要的行動,使持有人和實益所有人能夠行使託管證券應享有的投票權,並向託管機構提交一份美國律師的意見,以解決在託管機構提出要求時應採取的任何行動。不能保證持有人一般或特別是任何持有人將收到上文所述的通知,並有足夠的時間使持有人能夠及時將投票指示退還給保管人。
(19) Changes Affecting Deposited Securities. Upon any change in nominal or par value, split-up, cancellation, consolidation or any other reclassification of Deposited Securities, or upon any recapitalization, reorganization, merger, consolidation or sale of assets affecting the Company or to which it is a party, any property which shall be received by the Depositary or the Custodian in exchange for, or in conversion of, or replacement of, or otherwise in respect of, such Deposited Securities shall, to the extent permitted by law, be treated as new Deposited Property under the Deposit Agreement, and this ADR shall, subject to the provisions of the Deposit Agreement, this ADR evidencing such ADSs and applicable law, represent the right to receive such additional or replacement Deposited Property. In giving effect to such change, split-up, cancellation, consolidation or other reclassification of Deposited Securities, recapitalization, reorganization, merger, consolidation or sale of assets, the Depositary may, with the Company’s approval, and shall, if the Company shall so request, subject to the terms of the Deposit Agreement (including, without limitation, (a) the applicable fees and charges of, and expenses incurred by, the Depositary, and (b) taxes) and receipt of an opinion of counsel to the Company satisfactory to the Depositary that such actions are not in violation of any applicable laws or regulations, (i) issue and deliver additional ADSs as in the case of a stock dividend on the Shares, (ii) amend the Deposit Agreement and the applicable ADRs, (iii) amend the applicable Registration Statement(s) on Form F-6 as filed with the Commission in respect of the ADSs, (iv) call for the surrender of outstanding ADRs to be exchanged for new ADRs, and (v) take such other actions as are appropriate to reflect the transaction with respect to the ADSs. Notwithstanding the foregoing, in the event that any Deposited Property so received may not be lawfully distributed to some or all Holders, the Depositary may, with the Company’s approval, and shall, if the Company requests, subject to receipt of an opinion of Company’s counsel satisfactory to the Depositary that such action is not in violation of any applicable laws or regulations, sell such Deposited Property at public or private sale, at such place or places and upon such terms as it may deem proper and may allocate the net proceeds of such sales (net of (a) fees and charges of, and expenses incurred by, the Depositary and (b) taxes) for the account of the Holders otherwise entitled to such Deposited Property upon an averaged or other practicable basis without regard to any distinctions among such Holders and distribute the net proceeds so allocated to the extent practicable as in the case of a distribution received in cash pursuant to Section 4.1 of the Deposit Agreement. The Depositary shall not be responsible for (i) any failure to determine that it may be lawful or practicable to make such Deposited Property available to Holders in general or to any Holder in particular, (ii) any foreign exchange exposure or loss incurred in connection with such sale, or (iii) any liability to the purchaser of such Deposited Property.
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(20) Exoneration. Notwithstanding anything contained in the Deposit Agreement or any ADR, neither the Depositary nor the Company shall be obligated to do or perform any act which is inconsistent with the provisions of the Deposit Agreement or incur any liability (to the extent not limited by paragraph (26) hereof) (i) if the Depositary, the Custodian, the Company or their respective agents shall be prevented or forbidden from, or delayed in, doing or performing any act or thing required or contemplated by the terms of the Deposit Agreement and this ADR, by reason of any provision of any present or future law or regulation of the United States, Japan or any other country, or of any other governmental authority or regulatory authority or stock exchange, or on account of potential criminal or civil penalties or restraint, or by reason of any provision, present or future, of the Articles of Incorporation of the Company or any provision of or governing any Deposited Securities, or by reason of any act of God or war or other circumstances beyond its control (including, without limitation, nationalization, expropriation, currency restrictions, work stoppage, strikes, civil unrest, acts of terrorism, revolutions, rebellions, explosions and computer failure), (ii) by reason of any exercise of, or failure to exercise, any discretion provided for in the Deposit Agreement or in the Articles of Incorporation of the Company or provisions of or governing Deposited Securities, (iii) for any action or inaction in reliance upon the advice of or information from legal counsel, accountants, any person presenting Shares for deposit, any Holder, any Beneficial Owner or authorized representative thereof, or any other person believed by it in good faith to be competent to give such advice or information, (iv) for the inability by a Holder or Beneficial Owner to benefit from any distribution, offering, right or other benefit which is made available to holders of Deposited Securities but is not, under the terms of the Deposit Agreement, made available to Holders of ADSs, (v) for any action or inaction of any clearing or settlement system (any participant thereof) for the Deposited Property or the ADSs, or (vi) for any consequential or punitive damages (including lost profits) for any breach of the terms of the Deposit Agreement. The Depositary, its controlling persons, its agents, any Custodian and the Company, its controlling persons and its agents may rely and shall be protected in acting upon any written notice, request or other document believed by it to be genuine and to have been signed or presented by the proper party or parties.
(21)標準護理。本公司和存管人不承擔任何義務,也不應承擔任何責任,除非本公司和存管人同意在不存在疏忽或惡意的情況下履行本協議或本ADR中明確規定的各自義務。在不限制前述規定的情況下, 存管人、公司或其各自的任何控制人或代理人均無義務出庭、起訴或辯護與任何存管財產或ADS有關的任何訴訟、訴訟或其他程序, 認為這可能導致其支出或責任,除非根據需要經常提供令其滿意的補償,以應對所有費用(包括律師費用和支出)和責任(且保管人不對此類程序承擔任何義務,保管人的責任僅對保管人負責)。
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The Depositary and its agents shall not be liable for any failure to carry out any instructions to vote any of the Deposited Securities, or for the manner in which any vote is cast or the effect of any vote, provided that any such action or omission is in good faith and without negligence and in accordance with the terms of the Deposit Agreement. The Depositary shall not incur any liability for any failure to accurately determine that any distribution or action may be lawful or reasonably practicable, for the content of any information submitted to it by the Company for distribution to the Holders or for any inaccuracy of any translation thereof, for any investment risk associated with acquiring an interest in the Deposited Property, for the validity or worth of the Deposited Property, for any financial transaction entered into by any person in respect of the ADSs or any Deposited Property, for any tax consequences that may result from the ownership of, or any transaction involving, ADSs or Deposited Property, for the credit-worthiness of any third party, for allowing any rights to lapse upon the terms of the Deposit Agreement, for the failure or timeliness of any notice from the Company, or for any action of or failure to act by, or any information provided or not provided by, DTC or any DTC Participant, or for any FEFTA Pre-Notification filing or for any action (or refusal to act) by any ministry or regulatory authority in respect thereof.
託管人對繼任託管人的任何作為或不作為不負責任,無論是與託管人以前的作為或不作為有關的,還是與託管人撤職或辭職後完全產生的任何事項有關的,但條件是託管人在履行其作為託管人的職責時不得有疏忽或惡意。
託管人對前任託管人的任何作為或不作為不負責任,無論是與託管人的作為或不作為有關,還是與在指定託管人之前或在託管人撤職或辭職之後發生的任何事項有關, 條件是託管人在擔任託管人期間履行其義務時不得有疏忽或惡意。
(22)辭職和撤換保管人;任命繼任保管人。託管銀行可隨時根據《託管協議》向本公司遞交書面辭職通知,辭去託管銀行的職務,該辭呈將於(I) 本公司交付後第90天生效(據此託管銀行有權採取《託管協議》第 6.2節所述的行動),或(Ii)本公司按照《託管協議》的規定任命繼任託管銀行並接受該任命 。本公司可隨時以書面通知將託管人移走,移走應於(I)將託管人送交託管人後第120天(據此託管人有權採取存款協議第6.2節所述的行動)或(Ii)本公司委任繼任託管人並接受存款協議所規定的委任時(以較遲者為準)生效。本公司應盡其最大努力指定一位繼任託管人,該託管人應為在紐約市曼哈頓區設有辦事處的銀行或信託公司。本公司須 要求每名繼任受託管理人籤立並向其前身及本公司交付一份接受本協議項下委任的書面文件,而該等繼任受託保管人屆時將完全享有其前身的所有權利、權力、責任及義務(除存款協議第5.8及5.9節所述者外),而無須另行作出任何作為或作為(適用法律另有規定者除外)。在支付所有到期款項後,應公司的書面要求,前任託管銀行應(I)籤立並交付一份文書,將本協議項下該託管銀行的所有權利和權力轉移給該繼承人(存款協議第5.8和5.9節所述的權利和權力除外),(Ii)將託管銀行對該託管財產的所有權利、所有權和 權益正式轉讓、轉移和交付給該繼承人,及(Iii)向該繼承人交付所有未清償美國存託憑證持有人的名單 及該繼承人合理要求的與美國存託憑證及其持有人有關的其他資料。任何此類繼任託管機構應立即將其任命通知通知該等託管機構。保管人可以合併或合併的任何實體應是保管人的繼承人,而無需簽署或提交任何文件或採取任何進一步行動。
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(23)與FEFTA相關的規定。(A)當前的FEFTA狀態。本公司特此聲明並向保管人保證,以下任何 (I)本公司、(Ii)其根據日本法律成立或主要營業地在日本的子公司、以及(Iii)本公司及其子公司合計持有50%或以上投票權的任何其他實體 均未開展或計劃開展任何需要“外國投資者”(新國利),如FEFTA所定義的,在公司“外來直接投資等”之前,向財政部長和對公司任何業務有管轄權的任何部長提交一份通知。台愛雞腿肉頭)或“特定收購(Tokutei Shutoku)“,均按FEFTA第27條第1款或FEFTA第28條第1款與本公司有關(各為”FEFTA預告“)。
(b) 未來FEFTA地位. 如果(i)本公司或任何其他FEFTA涵蓋實體有意 從事或通過業務轉讓、合併、分拆或其他方式收購任何FEFTA指定業務,或(ii)任何FEFTA涵蓋 實體擬採取任何其他行動,要求(x)保存人在接受 供存放的股份,或(y)任何持有人或受益所有人,作為外國投資者,在註銷ADS後撤回 股份之前提交FEFTA預通知。除非相關FEFTA預通知已提交給財政部長 和對公司任何業務有管轄權的任何部長,且符合FEFTA法定等待期 (定義如下),否則公司不得采取,並應促使其他FEFTA涵蓋實體不採取前一句中要求通知的任何 行動。
(c) 股東大會. 儘管存管協議中有任何相反規定,如果公司 打算向任何股東大會提出任何議程項目,需要存管人提交FEFTA預通知,公司同意立即通知存管人 (這可能包括在其公司章程中將任何FEFTA指定業務添加到其業務目的中,及委任 一名與存託人有密切關係的人士擔任本公司董事)。儘管存款協議中有任何相反的規定 ,公司不得采取任何要求根據上一句通知的行動,並且除非或直到相關FEFTA預通知已提交給財政部長 和對公司任何業務有管轄權的任何部長,以及FEFTA法定等待期 (定義如下)的令人滿意。
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(d) FEFTA報告.
i. | 執行報告(FEFTA指定業務).已通知保存人,根據 自保存協議之日起生效的FEFTA,保存人須向適用的日本政府當局報告 (“FEFTA執行報告”),如果(x)公司已通知存管人 公司和/或其他FEFTA涵蓋實體從事任何FEFTA指定業務,及(ii)存管人已作出 FEFTA預通知,並在FEFTA法定等待期令人滿意後接受股份。存管人同意 公司在根據FEFTA要求提交該FEFTA執行報告時,提交該FEFTA執行報告。 |
二、 | 10% 投票/所有權報告(FEFTA非指定業務).已通知保存人 ,根據自保存協議之日起生效的FEFTA,保存人需要向適用的日本 政府當局報告(“FEFTA 10%投票/所有權報告”),如果 公司和其他FEFTA涵蓋的實體均未從事任何FEFTA指定業務,且其在本公司的投票權或所有權 權益,連同密切關聯方的投票權或所有權權益,在緊接股份被接納存後 為10%或以上。在交存任何股份後,公司應通知交存人將構成 本公司投票權或所有權權益10%的股份數量。保存人同意公司提交FEFTA 10%投票/所有權報告,如果根據FEFTA要求這樣做。 |
三、 | 撤回股份報告(FEFTA指定業務).已進一步 通知保存人,根據自保存協議之日起生效的FEFTA,要求向相關的日本政府 當局報告(“FEFTA股份撤回報告”)在其交出 美國存託證券以註銷時交付交存股份的45天內,如果(x)公司已通知存託人,公司和/或或其他FEFTA涵蓋的實體從事 任何FEFTA指定業務,且(y)存管人已發出FEFTA預通知,並在FEFTA法定等待期 後接受股份。存管人同意本公司提交此類FEFTA股份撤回報告(如果根據FEFTA需要)。 |
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(e) FEFTA 預通知.
(i) | 股票存款。託管人被告知,根據截至《存管協議》之日生效的FEFTA,(I)如果公司或其涵蓋的任何FEFTA實體確實從事任何FEFTA指定業務,託管人將被要求在接受任何股份存入之前向適用的日本政府當局提交FEFTA預告,以便獲得批准 ,(Ii)適用的 政府當局審查FEFTA預先通知的法定等待期為30天,但可加速或延長至最多5個月(“FEFTA法定等待期”),以及(Iii)在這種情況下,託管機構不能合法接受任何股票的存放,除非或直到FEFTA 法定等待期根據FEFTA到期,而適用的政府當局未發佈任何建議或命令要求或下令暫停或修改條款,按照FEFTA預先通知(“FEFTA法定等待期令人滿意的期滿”)的説明接受股份。因此,託管銀行同意,如果本公司 通知託管銀行本公司或其任何FEFTA涵蓋實體確實從事任何FEFTA指定業務,託管銀行 將不會接受根據《託管協議》條款存放的任何股份,除非及直至(X)託管銀行已向適用的日本政府當局提交《FEFTA預先通知》以供清算,及(Y)FEFTA 法定等待期屆滿。《存託協議》或任何美國存託憑證中所載的任何條款均不應在合同上要求託管機構接受任何投資者的股份以供存入,或向任何擬存入股份的投資者提交FEFTA預先通知。 |
(Ii) | 股票回籠。保管人被告知,根據截至《存款協議》之日生效的FEFTA,如果本公司或其任何FEFTA涵蓋的實體確實從事FEFTA指定的某些業務 受限於“特定收購(德亭)",任何預期在向存管人交出美國存託憑證以註銷時收到 股份交付的外國投資者,可能需要根據FEFTA向 適用的日本政府當局發出FEFTA通知,並等待FEFTA法定等待期的令人滿意的通知,在每種情況下, 在接受交付擬撤回的股份之前, 美國存託憑證(美國存託機構)擬撤回的股份。因此,存管人同意,如果公司已通知存管人, 公司或其任何FEFTA涵蓋實體確實從事某些FEFTA指定業務,受"特定收購 "(德亭)",存管人將不接受由"外國投資者"或為"外國投資者"為撤回股份而 註銷的ADS,除非並直至其收到令人滿意的保證,即適用外國投資者已發出任何所需的FEFTA通知 ,且FEFTA法定等待期已達到令人滿意的通知,在每個 情況下,關於擬撤回並交付給外國投資者的股份。 |
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(f) FEFTA合作. 本公司應並應促使其任何其他FEFTA涵蓋實體與保存人及其律師充分合作 提交任何FEFTA預通知、相關事後報告或根據FEFTA要求的與保存人及其律師 有關的其他備案,包括應要求立即向保存人及其律師披露所有必要信息。 公司同意向存管人償還其費用,包括費用和律師費用,用於將股票存入、存入或退出根據存管協議存在的ADR計劃的任何FEFTA相關備案, 包括但不限於FEFTA預審、FEFTA執行報告、FEFTA 10%投票/所有權報告,和FEFTA 共享撤回報告。
(24) Amendment/Supplement. Subject to the terms and conditions of this paragraph 24, and Section 6.1 of the Deposit Agreement and applicable law, this ADR and any provisions of the Deposit Agreement may at any time and from time to time be amended or supplemented by written agreement between the Company and the Depositary in any respect which they may deem necessary or desirable without the prior written consent of the Holders or Beneficial Owners. Any amendment or supplement which shall impose or increase any fees or charges (other than charges in connection with foreign exchange control regulations, and taxes and other governmental charges, delivery and other such expenses), or which shall otherwise materially prejudice any substantial existing right of Holders or Beneficial Owners, shall not, however, become effective as to outstanding ADSs until the expiration of thirty (30) days after notice of such amendment or supplement shall have been given to the Holders of outstanding ADSs. Notice of any amendment to the Deposit Agreement or any ADR shall not need to describe in detail the specific amendments effectuated thereby, and failure to describe the specific amendments in any such notice shall not render such notice invalid, provided, however, that, in each such case, the notice given to the Holders identifies a means for Holders and Beneficial Owners to retrieve or receive the text of such amendment (例如:, upon retrieval from the Commission’s, the Depositary’s or the Company’s website or upon request from the Depositary). The parties hereto agree that any amendments or supplements which (i) are reasonably necessary (as agreed by the Company and the Depositary) in order for (a) the ADSs to be registered on Form F-6 under the Securities Act or (b) the ADSs to be settled solely in electronic book-entry form and (ii) do not in either such case impose or increase any fees or charges to be borne by Holders, shall be deemed not to materially prejudice any substantial existing rights of Holders or Beneficial Owners. Every Holder and Beneficial Owner at the time any amendment or supplement so becomes effective shall be deemed, by continuing to hold such ADSs, to consent and agree to such amendment or supplement and to be bound by the Deposit Agreement and this ADR, if applicable, as amended or supplemented thereby. In no event shall any amendment or supplement impair the right of the Holder to surrender such ADS and receive therefor the Deposited Securities represented thereby, except in order to comply with mandatory provisions of applicable law. Notwithstanding the foregoing, if any governmental body should adopt new laws, rules or regulations which would require an amendment of, or supplement to, the Deposit Agreement to ensure compliance therewith, the Company and the Depositary may amend or supplement the Deposit Agreement and this ADR at any time in accordance with such changed laws, rules or regulations. Such amendment or supplement to the Deposit Agreement and this ADR in such circumstances may become effective before a notice of such amendment or supplement is given to Holders or within any other period of time as required for compliance with such laws, rules or regulations.
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(25) Termination. The Depositary shall, at any time at the written direction of the Company, terminate the Deposit Agreement by distributing notice of such termination to the Holders of all ADSs then outstanding at least thirty (30) days prior to the date fixed in such notice for such termination. If (i) ninety (90) days shall have expired after the Depositary shall have delivered to the Company a written notice of its election to resign, or (ii) one hundred twenty (120) days shall have expired after the Company shall have delivered to the Depositary a written notice of the removal of the Depositary, and, in either case, a successor depositary shall not have been appointed and accepted its appointment as provided in Section 5.4 of the Deposit Agreement, the Depositary may terminate the Deposit Agreement by distributing notice of such termination to the Holders of all ADSs then outstanding at least thirty (30) days prior to the date fixed in such notice for such termination. The date so fixed for termination of the Deposit Agreement in any termination notice so distributed by the Depositary to the Holders of ADSs is referred to as the “Termination Date”. Until the Termination Date, the Depositary shall continue to perform all of its obligations under the Deposit Agreement, and the Holders and Beneficial Owners will be entitled to all of their rights under the Deposit Agreement. If any ADSs shall remain outstanding after the Termination Date, the Registrar and the Depositary shall not, after the Termination Date, have any obligation to perform any further acts under the Deposit Agreement, except that the Depositary shall, subject, in each case, to the terms and conditions of the Deposit Agreement, continue to (i) collect dividends and other distributions pertaining to Deposited Securities, (ii) sell Deposited Property received in respect of Deposited Securities, (iii) deliver Deposited Securities, together with any dividends or other distributions received with respect thereto and the net proceeds of the sale of any other Deposited Property, in exchange for ADSs surrendered to the Depositary (after deducting, or charging, as the case may be, in each case, the fees and charges of, and expenses incurred by, the Depositary, and all applicable taxes or governmental charges for the account of the Holders and Beneficial Owners, in each case upon the terms set forth in Section 5.9 of the Deposit Agreement), and (iv) take such actions as may be required under applicable law in connection with its role as Depositary under the Deposit Agreement. At any time after the Termination Date, the Depositary may sell the Deposited Property then held under the Deposit Agreement and shall after such sale hold un-invested the net proceeds of such sale, together with any other cash then held by it under the Deposit Agreement, in an un-segregated account and without liability for interest, for the pro rata benefit of the Holders whose ADSs have not theretofore been surrendered. After making such sale, the Depositary shall be discharged from all obligations under the Deposit Agreement except (i) to account for such net proceeds and other cash (after deducting, or charging, as the case may be, in each case, the fees and charges of, and expenses incurred by, the Depositary, and all applicable taxes or governmental charges for the account of the Holders and Beneficial Owners, in each case upon the terms set forth in Section 5.9 of the Deposit Agreement), and (ii) as may be required at law in connection with the termination of the Deposit Agreement. After the Termination Date, the Company shall be discharged from all obligations under the Deposit Agreement, except for its obligations to the Depositary under Sections 5.8, 5.9 and 7.6 of the Deposit Agreement. The obligations under the terms of the Deposit Agreement of Holders and Beneficial Owners of ADSs outstanding as of the Termination Date shall survive the Termination Date and shall be discharged only when the applicable ADSs are presented by their Holders to the Depositary for cancellation under the terms of the Deposit Agreement (except as specifically provided in the Deposit Agreement).
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儘管《存託協議》或任何《美國存託憑證》有任何規定,但與《存託協議》的終止有關,託管機構可在不需要本公司採取任何行動的情況下,向美國存託憑證持有人提供一種方式,以提取其美國存託憑證所代表的已存入證券,並將該等存入證券直接存入由存託機構設立的無擔保美國存托股份計劃,其條款和條件為受託管理人可能認為合理適當,但在每一種情況下,均須滿足《證券法》下無保薦美國存托股份計劃的適用登記要求。 託管人收到託管人支付的適用費用和收費,以及退還託管人發生的適用費用。
(26)遵守美國證券法 ,且無免責聲明。(a)儘管本ADR或存管協議中有任何相反的規定 ,公司或存管人將不會暫停存管證券的提取或交付,除非 指令I. A允許。(1)根據《證券法》不時修訂的F—6表格登記聲明的一般説明。
(b)存款協議的每一 當事人(包括但不限於每一持有人和受益所有人)承認並同意, 存款協議或任何ADR的任何條款均不得或應被視為免除《證券法》或《交易法》下的任何責任,在每種情況下,在適用的美國法律規定的範圍內。
(27) No Third Party Beneficiaries/Acknowledgements. The Deposit Agreement is for the exclusive benefit of the parties hereto (and their successors) and shall not be deemed to give any legal or equitable right, remedy or claim whatsoever to any other person, except to the extent specifically set forth in the Deposit Agreement. Nothing in the Deposit Agreement shall be deemed to give rise to a partnership or joint venture among the parties nor establish a fiduciary or similar relationship among the parties. The parties hereto acknowledge and agree that (i) Citibank and its Affiliates may at any time have multiple banking relationships with the Company, the Holders, the Beneficial Owners, and their respective Affiliates, (ii) Citibank and its Affiliates may own and deal in any class of securities of the Company and its Affiliates and in ADSs, and may be engaged at any time in transactions in which parties adverse to the Company, the Holders, the Beneficial Owners or their respective Affiliates may have interests, (iii) the Depositary and its Affiliates may from time to time have in their possession non-public information about the Company, the Holders, the Beneficial Owners, and their respective Affiliates, (iv) nothing contained in the Deposit Agreement shall (a) preclude Citibank or any of its Affiliates from engaging in such transactions or establishing or maintaining such relationships, or (b) obligate Citibank or any of its Affiliates to disclose such information, transactions or relationships, or to account for any profit made or payment received in such transactions or relationships, (v) the Depositary shall not be deemed to have knowledge of any information any other division of Citibank or any of its Affiliates may have about the Company, the Holders, the Beneficial Owners, or any of their respective Affiliates, and (vi) the Company, the Depositary, the Custodian and their respective agents and controlling persons may be subject to the laws and regulations of jurisdictions other than the U.S. and Japan, and the authority of courts and regulatory authorities of such other jurisdictions, and, consequently, the requirements and the limitations of such other laws and regulations, and the decisions and orders of such other courts and regulatory authorities, may affect the rights and obligations of the parties to the Deposit Agreement.
A-27
(28) 管轄法律/放棄陪審團審判。存款協議、美國存託憑證和美國存託憑證應根據適用於在紐約州簽訂和完全履行的合同的紐約州法律進行解釋,且本協議項下的所有權利以及本協議及其條款應受紐約州法律的管轄。儘管存款協議中包含任何相反的規定,任何ADR或 紐約州法律的任何現行或未來條款、股份和任何其他已存證券持有人的權利 以及公司對股份和其他已存證券持有人的義務和職責,均應受日本法律管轄 (或(如適用)可能規管所存證券的其他法律)。
持有人和實益擁有人 理解且各自不可撤銷地同意,通過持有美國存托股份或其中的權益,任何針對本公司或託管銀行的訴訟、訴訟或法律程序,由於或基於存款協議、美國存託憑證、美國存託憑證或擬進行的交易而產生或基於 ,或由此或憑藉其所有權,只能在紐約市的州法院或聯邦法院提起,持有美國存托股份或其中的權益,將不可撤銷地放棄現在或以後可能對在、並在任何此類訴訟、訴訟或程序中不可撤銷地服從此類法院的專屬管轄權。 持有人和實益所有人同意,本款規定在這些持有人和實益所有人對美國存託憑證或其中的權益的所有權或其中的權益的 繼續有效。
在適用法律允許的最大範圍內,存款協議的每一方當事人(包括但不限於每一位持有人和實益所有人)在因存款協議、任何ADR和其中預期的任何交易(無論是基於合同、侵權行為、普通法 或其他)而對公司和/或託管人提起的任何法律程序中,不可撤銷地放棄由陪審團進行審判的任何和所有權利。
A-28
(轉讓和轉讓簽名行)
對於收到的價值,以下簽名持有人特此 出售(S)、轉讓(S)和轉讓(S)給_特此不可撤銷地組成 並指定_
日期: | 發信人: | ||
姓名: | |||
標題: |
注意:在本轉讓書上,持有人的簽署必須與內部文書面上所寫的姓名相符,不得有任何改動或放大或任何更改。 | |
如果背書是由律師、遺囑執行人、管理人、受託人或監護人簽署的,則背書執行人必須以該身份提供其全部所有權,並且以該身份行事的適當授權證據,如未向保存人存檔,則必須與本ADR一起提交。 |
簽名有保證 |
美國存託憑證的所有背書或轉讓必須由證券轉讓協會批准的徽章簽名計劃的成員擔保。 |
傳説 [就部分權利美國存托股份發行的美國存托股份的ADR應在ADR的面上標明以下圖例: “本ADR證明ADS代表本公司的‘部分權利’股份,因此並不使其持有人 有權獲得與當時已發行及發行的其他股份(即‘完全權利’股份)相同的每股權利。本美國存託憑證所代表的美國存託憑證應使持有人有權獲得與其他美國存託憑證相同的分派和權利,當該等美國存託憑證所代表的股份 成為‘完全權利’股份時。“]
A-29
附件B
收費表
美國存托股份收費及相關收費
此處使用但未另行定義的所有大寫術語應 具有《存款協議》中賦予此類術語的含義。除本文另有規定外,本文中提及的任何ADS包括 部分授權ADS、全部授權ADS、認證的ADS、未認證的ADS和受限的ADS。
一、美國存托股份收費
根據存款協議的條款,應支付以下美國存托股份費用(其中一些費用可能是累積的) :
服務 | 費率 | 由誰付款 | ||
(1)發行美國存託憑證(例如:指因存入股份而發行、美國存托股份(S)與股份(S)比例改變、美國存托股份 換股或任何其他原因),不包括因下文第(4)款所述分派而發行的股份。 | 每發行100張美國存託憑證(不足100張),最高可達5美元。 | 獲發美國存託憑證的人士。 | ||
(2)取消美國存託憑證(例如:存託協議終止、美國存托股份(S)與股份(S)比例發生變化、美國存托股份轉換、存託協議終止或任何其他原因)。 | 每100張美國存託憑證(或不足100張美國存託憑證)最高5美元。 | 被取消美國存託憑證的人員。 | ||
(三)派發現金股利或其他現金分配(例如:,在出售權利和其他權利時)。 | 持有的每100張美國存託憑證(不足100張)最高5美元。 | 接受分配的人。 | ||
(4)根據(I)股票股息或其他免費股票分配,或(Ii)行使購買額外美國存託憑證的權利而分配美國存託憑證。 | 持有的每100張美國存託憑證(不足100張)最高5美元。 | 接受分配的人。 | ||
(5)銷售金融工具,包括但不限於美國存託憑證以外的證券或購買額外美國存託憑證的權利(例如:、分拆股份和或有價值權利)。 | 持有的每100張美國存託憑證(不足100張)最高5美元。 | 接受分配的人。 | ||
(6)美國存托股份服務。 | 每100張(或不足100張)美國存託憑證(不足100張)最高5.00美元。 | 在託管人建立的適用記錄日期持有美國存託憑證的人員。 | ||
(7)美國存托股份轉賬登記(例如:,在登記美國存託憑證的註冊所有權轉讓時,在美國存託憑證轉讓到DTC時,以及反之亦然,或任何其他原因)。 | 每100張美國存託憑證(或不足100張美國存託憑證)最高5美元。 | 受讓人或受讓人。 | ||
(8)將一個系列的美國存託憑證轉換為另一個系列的美國存託憑證(例如:,在將部分權利ADS 轉換為全部權利ADS時,或在將受限ADS轉換為可自由轉讓的ADS時,以及反之亦然)或轉換非保薦人美國存托股份的美國存托股份(例如,在存託協議終止時)。 | 每100個美國存託憑證(或不足100個美國存託憑證)最高5美元。 | 已轉換美國存託憑證的對象或已轉換的美國存託憑證的收件人。 |
B-1
二、 | 收費 |
根據存款協議的條款,公司、持有人、受益所有人、就ADS發行和註銷存入股份 或撤回已存證券的人員,以及為其發行或註銷ADS的人員 應負責下列ADS費用(其中一些費用可能是累積的):
(i) | 税收(包括適用的利息和罰款)和其他政府收費; |
(Ii) | 在股份登記冊上登記股份或其他寄存證券時不時有效的登記費,並適用於在存款和提款時分別以託管人、託管人或任何代名人的名義轉讓股份或其他寄存證券的費用; |
(Iii) | 《存款協議》明確規定的電報、電傳和傳真傳輸和交付費用由存入股票或提取存入財產的人或美國存託憑證的持有人和實益所有人承擔; |
(Iv) | 在外幣兑換方面,託管人和/或兑換服務提供者(可以是託管人的分部、分支機構或附屬機構)的費用、開支、利差、税款和其他費用。此類手續費、費用、價差、税費和其他費用應從外幣中扣除; |
(v) | 在此類轉換過程中和/或代表持有人和受益所有人 在遵守貨幣兑換管制或其他政府要求時發生的任何合理和慣常的實付費用; |
(Vi) | the fees, charges, costs and expenses incurred by the Depositary, the Custodian, or any nominee in connection with the ADR program, including, without limitation, the fees and expenses, including fees and expenses of counsel, of the Depositary for any FEFTA – related filings relating to the Shares on deposit in, to be deposited into, or to be withdrawn from, the ADR program existing pursuant to the Deposit Agreement, including, without limitation, FEFTA Pre-Notification, FEFTA Execution Report, FEFTA 10% Voting / Ownership Report, and FEFTA Share Withdrawal Report; |
(vii) | the amounts payable to the Depositary by any party to the Deposit Agreement pursuant to any ancillary agreement to the Deposit Agreement in respect of the ADR program, the ADSs and the ADRs. |
The above fees and charges may at any time and from time to time be changed by agreement between the Company and the Depositary and may be assessed cumulatively based on cumulative functions of services rendered.
B-2